. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
with the requirements under this Notification; (4) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to
; (3) “securities” means shares, bonds, bills, sukuk, share warrant, bond warrants, derivative warrants, certificates representing interest from Thai securities underlying and REIT units; (4) “securities
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
failure of computer systems used for trading securities by companies which are members of the Stock Exchange of Thailand. If the incident results in no ability in recording an offer for trading come from
ทะเบียนที่มีการซื้อขายใน TFEX (stock futures) หุ้นกู้ที่มีอนุพันธ์แฝง (structured debenture) คู่สมรส หรือผู้ที่อยู่กินด้วยกันฉันสามีภริยา/ Spouse / cohabiting couple ชื่อ / Name หุ้นสามัญ (common share