) limit the trading price range of derivatives; (4) amend or temporarily suspend the application of any rules issued by the derivatives exchange; (5) undertake
License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the audit engagement
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
ยืดหยุ่นผู้ออกหลักทรัพย์สามารถเปิดเผยข้อมูลที่เกี่ยวกับจำนวนเงินที่ใช้ หรือระยะเวลาที่ใช้เงิน โดยอาจเปิดเผยข้อมูลในลักษณะเป็นช่วง (range) ที่เหมาะสมได้ ดังนี้ (1) กรณีที่ประสงค์จะนำเงินไปซื้อสินทรัพย์หรือ
to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person
be accepted from and offered to audit clients, their directors, officers and employees, and should issue guidance to assist partners and staff to comply with such policies 12 Any significant gifts or
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5