rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and

, structures, products or variables and terms of the derivatives; (2) benefits or returns to be received by the client from entering into a derivatives contract, potential earnings or loss, including details of

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor