custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

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

bonds, in this regard such securities company shall: (a) Provide information on risks and description of bond with one or more of the following methods; (1) Arrange to have staff at the premise of the

in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and

and disclosed in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which

premise in advance within reasonable time. In case of closing of full-service branch office or online branch office, the securities company shall ensure that customer can use service of head office or other

branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within

application ที่สำคัญ ของบริษัท (on-premise) จำนวนระบบงาน หรือ application ที่ใช้ในการประมวลผลหรือสนับสนุนกิจกรรมสำคัญของบริษัท โดย ติดตั้งภายในศูนย์คอมพิวเตอร์ หลักภายในบริษัท หมายเหตุ: application ที่สำคัญ

of its operation and for the assumption of any risks associated with the operation of the derivatives exchange; (2) system for settlement of the clearing house’s derivatives obligations that is

investors and specify additional assumption if applicable. In this regard, an auditor approved by the SEC shall be appointed to audit and give an opinion or show confidence in such consociated financial