notified by the Office, irrespective of whether they are borrowed under one transaction or consecutive transactions from one lender or more. Clause 6. In carrying out the borrowing and lending of securities
liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive
responsibility in the audit within a period of (“the cooling-off period”) · five consecutive years* for audit engagement partner · three consecutive years for EQCR and · two consecutive years for other key audit
made by the fund in installments, the stipulation must be specified that fund shall invest the money reserved for the consecutive payments in the assets under Clause 46(1) (2) (3) (4) (5) or (6); (7)7 if
อัตราส่วนดังต่อไปนี้ 1) อัตราส่วนความสามารถในการทำกำไร (Profitability Ratio) 2) อัตราส่วนในการวัดภาระหนี้สิน (Leverage Ratio) 3) อัตราส่วนสภาพคล่อง (Liquidity Ratio) 7. สำเนาเอกสารอื่น ๆ ที่เป็นประโยชน์ในการ
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
term of four years and may be re-appointed but shall not hold office for more than two consecutive terms. Upon expiration of the term of office, the appointment of new Chairman and commissioners shall be
capital ratio] not less than 7% of general liabilities at the end of any business day. In case of the securities company also licensed to undertake derivatives business in the category of derivatives
ratio] of not less than seven percent of the general liabilities and collateral at the end of any business day. The calculation of the net capital [and net capital ratio] under Paragraph 1 shall be in