1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
the profit and loss statement for the three most recent years in the case where the audit firm is established in the form of a group of persons; (8) Certification and consent letter of the audit firm
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
effectively with Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the
เครื่องหมายลงในช่องที่ตรงกับประเภทการจ่ายผลตอบแทนของประเภทบัญชี รวมทั้งระบุรอบเวลาในการจ่ายโบนัส / profit sharing เช่น จ่ายโบนัสทุกรอบปี หรือ profit sharing ทุกเดือน เป็นต้น) ประเภทบัญชี ประเภทการจ่ายผลตอบแทน
company report transmission system” means electronic data transmission system determined by the Office for use of the securities company in submitting the report of the securities company to the Office
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which