uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
money which the client is entitled to be paid by the securities company , for payment of the client’s outstanding debt; (d) termination of an agreement. An agreement made between a securities company and
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of