. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the

it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a

ordinary shares and _________ preferred shares (if any), at ___________ baht per share. In case of having securities listed elsewhere, identify that Stock Exchange. 1.4.2 In case of having other types of

Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or

external factors which are uncontrollable, e.g., the price of securities based on the last market price thereof by the Stock Exchange of Thailand or the over-the-counter center is incorrect. If the cause of

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

ทะเบียนที่มีการซื้อขายใน TFEX (stock futures) หุ้นกู้ที่มีอนุพันธ์แฝง (structured debenture) คู่สมรส หรือผู้ที่อยู่กินด้วยกันฉันสามีภริยา/ Spouse / cohabiting couple ชื่อ / Name หุ้นสามัญ (common share

capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and