internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
client. Nevertheless, the amendment process should take less than 30 days as of the changing date. In the case where the derivatives broker deposits or invests the segregated asset of client with financial
changing date. In the case where the assets of clients under Paragraph 1(1) (2) and (3) are those for purchase or sale of securities in foreign country, the securities company shall segregate such assets in
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking
every three months at least. · For each time of changing password, it should not determine new password similar to the latest password. · do not determine the password in the typical form such as “abcdef
objection within thirty days from the date of receiving the notice of changing the criteria or fifteen days in case of changing sign or other symbol, the company may change the criteria, sign or symbol used
เป็นกองทุน ที่มีความเสี่ยงต่ำ (low risk) มีเสถียรภาพ (stability) และมีสภาพคล่องสูง (high liquidity) ใกล้เคียงกับ เงินฝากธนาคารซึ่งจะมีความเสี่ยงค่อนข้างต่ำและสามารถเข้าออกได้ตลอดเวลา ซึ่งสอดคล้องกับหลัก