_____________________________ Clause 5 For the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any

categorized by business units, the income structure of the latest year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35 percent of the total income respectively. Such

. 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