substantial fees are overdue? 9 Are there any significant bad debt write-offs for existing audit clients? 10 Non Audit Services / Cross Selling: Should require that: others within the firm, and its network
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
derivatives broker ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
contingent liabilities of a derivatives broker not shown in financial statements, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bills of exchange; 2. contingent
company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
ในฐานะลูกหนี้ชั้นต้น (LETTER OF GUARANTEE) ข้อ 4 เว้นแต่กรณีที่กำหนดไว้ในข้อ 4/1 ผู้ประกอบกิจการที่กระทำการในฐานะดังต่อไปนี้ ต้องดำเนินการให้ ณ ขณะใดขณะหนึ่ง การดำรงมูลค่าหลักประกันที่ผู้ให้ยืมได้รับ
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the
group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best