derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
Audit Firm Name: Subject : Ethical Requirements Prepared by Date INDEPENDENCE, INTEGRITY AND OBJECTIVITY: A. Independence Procedures Checklist: Obtain a copy of the firm’s documented ethics
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions