persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring and inspecting in
to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to
Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to apply fair allocation
other person that securities offeror is able to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities
facilitating the inspector(s) of the SEC Office in inspecting the audit quality control system; (4) clarifying or submitting any other information regarding the audit work or taking any other steps in giving
to invest in such product, the intermediary shall provide an independent or senior employee working at the place of service to perform the following requirements: (a) examining the procedure for
, derivatives exchange, securities clearing houses, central securities depositories, the SEC Office, and the Bank of Thailand, for the purposes of supervising and examining the financial position and risks of
purchasing, including installing and examining a thermal and/or chilled water power plant from renewable or alternative energy resources. 71. Conducting a business in providing a technical or academic service
company, in order to provide the aforementioned service. 70. Conducting a business in purchasing, selling, exchanging, leasing, letting, hire purchasing, including installing and examining a thermal and/or