compliance with this Notification, the SEC Office shall be empowered to stipulate in detail the criteria for the following matters: (1) details on liquid assets and insurance and use of such assets for the
Establishment and Management of Collective Investment Schemes and Section 59 of the Trust for Transactions in Capital Market Act B. E. 2550 (2007) stipulate that the auditor who affixes signature in the auditor’s
B.E. 2550 (2007) stipulate that the auditor who audits, signs and gives opinion on the financial statements of entities prescribed under such provisions or regulations shall be the auditor who is
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position
of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information