opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or

Notifications prescribing addition rules on such matter for the securities companies; or (3) short sale as a consequence of duties arising from obligations under categories or characteristics prescribed by

consequence thereof. In this regard, while awaited delivery of the asset or investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost

debt and equity securities. 6. Receivables from clearing house means a net balance account of receivables from the Thailand Securities Depository Company Limited (TSD.) resulting from paying for the

apply) ( 5.1 Using of going concern assumption appropriate but a material uncertainty exists (paragraph number.......) ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or

the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value, e.g

Liabilities for Resulting Loss When the Client establishes certain positions on derivatives, i.e. long futures, short futures and short options, he/she is obliged to perform its obligations under the contract

property that resulting in damage to the financial institution where I served as director or executive or to the clients. [ ] Yes [ ] No (2) I was imprisoned by the court’s final judgment regardless of

system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days. Clause 9. In case where the custodian can not maintain its