) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

relation to the business group of the major shareholder. If the business structures of the Company or its group of companies call for substantial competition, demonstrate clearly how the Company protects the

record of contravening a regulation or condition related to securities offering in a significant matter; (b) having been rejected by the SEC Office regarding an application for an offer for sale of newly

Including the profit margins in the associated companies based on the equity method. 3 Describe the nature and proportion of other incomes. In this regard, each significant income shall be displayed in a

significant accounting items and accounting event, detail attached to significant items which demonstrated in the financial statement and other additional information as prescribed by the accounting standard

securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different

) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to

ว่า ท่านต้องการได้รับโอกาสที่จะได้รับผลตอบแทนสูง ความเสี่ยงสูงและยอมรับการขาดทุนได้ใน significant portion 1-8

........); ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph........); ( 5.4 Correction of previous year’s material misstatement in