. Balance at end 25x1 x x x x x x x (x) x x /1In case of the company have both ordinary share and preferred share, it shall separate ordinary share and preferred share. And in case of having both a surplus
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
of assets of each client in a separate account which is segregated from the derivatives broker ’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
Keeping of Clients’ Assets Clause 12 A securities company shall prepare records of each client’s assets under its custody in a separate account from any other asset account of the securities company and
Stock Exchange of Thailand; “ investment unit ” means: (1) The investment unit specified under the Law on Securities and Exchange ; (2) A financial instrument or certificate representing the right of the
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
come into force on the day following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument
equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business