Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

the revocation of the license to the revoked registrar in writing. In this regard, the revoked registrar shall notify the securities issuer of the revocation in writing, and shall arrange the delivery

compensation not exceeding one million baht. In this regard, the claimants shall appoint in writing, as per form OrYor. 2 prescribed by the Office, a representative in the arbitral proceeding on their behalf

the client . Division 2 Measures for preventing and managing conflicts of interest _____________________________ Clause 17 An intermediary shall determine the policy, in writing, pertaining to

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

writing to the Office. Unless the Office gives an objection in writing within fifteen days from the date of receiving the notice, the investment advisory company may change such work system. Clause 2/1. An

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for