disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds
Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription
Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to
Sales results of the foreign CIS units that have been offered in Thailand: Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription
. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards
........); ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph........); ( 5.4 Correction of previous year’s material misstatement in
are the material changes to the previous filing of the registration statement as chosen above
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as