to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely
the transfer of assets, rights and duties of the transferred mutual fund as specified in the fund scheme of the mutual fund which accepts the transfer of assets and the transferred mutual fund is
obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
ชี้วัดดังกล่าวต้องคำนวณโดยใช้ดัชนีที่ใช้วัดผลตอบแทนทุกประเภทจากการลงทุนในหลักทรัพย์ (total return index) เท่านั้น และไม่ใช้ดัชนีที่สะท้อนความเคลื่อนไหวของราคาหลักทรัพย์ที่เป็นองค์ประกอบของดัชนี (price
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for