secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
the trust instrument appoints a sole trustee or several trustees and specifies each trustee to separately manages the trust property, if there is a cause to alter the trustee but the new trustee has not
fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 8. Fees for application and issuance of license for undertaking
sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical
) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm
derivatives business. If the derivatives business licensee fails to satisfy any condition set out under the first paragraph, the Securities and Exchange Commission may revoke its license. Clause 14 Subject to
license type C , as the case may be, at all time during its undertaking of derivatives business. If the derivatives business licensee fails to satisfy any condition set out under Paragraph 1, the Securities
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
development procedure or alteration in order to develop the operational system satisfy the desire. [A] · Concern to security and availability of operational system at the beginning of development or alteration
, revaluation surplus (deficit) in investment, it shall separate surplus (deficit) categories of each its categories. Financial statement of the sole company (Unit:Baht) Ordinary share Stocks right and warrants/1