for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
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
assets 9. Property, plant and equipment 10. Intangible assets 11. Other assets Total assets Liabilities and shareholders’ equity (Unit:Baht) Consolidated The Company only ( 20..) ( 20..) (20..) (20
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted