in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
Thailand: - (a) registration and renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with
inspect the operation of the public sector and the business sector regarding proper and appropriate protection of personal data.” _____________________________
contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze securities investments; “investment advisory agent
. Check and balance system. By appointing a person who will monitor and inspect for the misuse of the client’s assets such as: 3.1 Compliance or other assigned person who will inspect and verify the
than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for
Board or the SEC Office, including the operational guidance specified by the intermediary to comply with such rules. (2) consent of the service provider for the SEC Office to inspect the operation of the