information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
. 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
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty
Consolidated assets (THB) Consolidated income (THB) Consolidated net profit (loss) (THB) Separate assets (THB) Separate income (THB) Separate net profit (loss) (THB) Audit fee (THB) Other fees Auditor’s opinions
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
significant incomes must be displayed in a separate row (if any). 2.2 Give a separate description of each product line or business group in the following matters (according to the income structure). The
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel