,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be

derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by

contingent liabilities of a derivatives broker not shown in financial statements, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bills of exchange; 2. contingent

company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall

liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other

ในฐานะลูกหนี้ชั้นต้น (LETTER OF GUARANTEE) ข้อ 4 เว้นแต่กรณีที่กำหนดไว้ในข้อ 4/1 ผู้ประกอบกิจการที่กระทำการในฐานะดังต่อไปนี้ ต้องดำเนินการให้ ณ ขณะใดขณะหนึ่ง การดำรงมูลค่าหลักประกันที่ผู้ให้ยืมได้รับ

representative (if any); (2) information pertaining to ability to repayment and the source of income used for repayment as well as collateral in case of any service required property for assurance; (3) other

encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the