to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product

construction, area size, and materials selection - Product database development fees : Fees depending on the scope of work, the number of product database, and man-day in services - Sales management fees : Fees

. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the

who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service

derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of derivatives investor contact service from service provider; (2

clients. Clause 4. Derivatives broker who wishes to use derivatives investor contact service shall submit an application to the Office along with documents and details as follows; (1) Scope of using of

office service from service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider

service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider; (2) Documents and

to use back office service from service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from

..................................................................................................................................... 2 2. หลักเกณฑ์ที่ใช้ในการตรวจสอบ (Audit criteria) ................................................................................................. 3 3. ขอบเขตในการตรวจสอบ (Audit scope