monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business
. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of dealing of debt securities or ceases to execute
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or
Thailand: (1) being allowed to perform audit work under foreign law or rule; (2) being affiliated with an audit firm that has an audit quality control system and the required number of personnel; (3) meeting
) Certificate of Juristic Person Registration or Incorporation Document of Audit Firm with which the Applicant is Affiliated and Shareholders’ List Original: 0 copy Photocopy: 1 copy Remark: Sign to certify on
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the