income, expense in advance, property pending sale etc.. In the case where any other assets amounts to five percent or more the total assets, it shall be separately demonstrated next to item No. 10
qualification as specified in Clause 4 and notify the details of the upgrade to the Office in advance with the format set out in an electronic system of the Office. Chapter 2 Branch Office in Foreign Countries
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of business undertaking; “executive
record of contravening a regulation or condition related to securities offering in a significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly
ว่า ท่านต้องการได้รับโอกาสที่จะได้รับผลตอบแทนสูง ความเสี่ยงสูงและยอมรับการขาดทุนได้ใน significant portion 1-8
........); ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph........); ( 5.4 Correction of previous year’s material misstatement in
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008