........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
suspension, acquisition or disposal of significant assets, operating results and profits, liquidity and capital sources, asset quality, management of off-balance sheet transactions, significant changes or
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
defined in the Code of Ethics for Professional Accountants which refers to businesses affiliated to Audit Firm that (a) have the intention to cooperate and (b) have a clear objective to share profits and
rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
ใช้สิทธิและภาระผูกพันต่าง ๆ ที่เกี่ยวข้อง 25. กำไร (ขาดทุน) สะสม (Retained earnings (Deficits)) กำไร (ขาดทุน) สะสม ประกอบด้วย 25.1 จัดสรรแล้ว (Appropriated) หมายถึง สำรองที่กันไว้จากกำไรสำหรับงวดตาม
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on