operations, with the requirement that during the first two years, the records must be stored in a format that readily accessible for the SEC’s review or inspection.   The consultation paper is available

in Thailand to the highest level in line with international standards.  IFAIR conducted this survey for the first time with the objective to identify the level of inspection activity and common

inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever

) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of

real estate investment trusts; 2. Appraisers; 3. Consideration of complaints, inspection, investigation, enquiries, administrative acts, and any act under supervision of the SEC Office in compliance with

of the complaint. Such document and evidence shall be stored in the manner which is immediately available upon the SEC Office’s request for a review or an inspection for the first two years. Clause 4

of the complaint. Such document and evidence shall be stored in the manner which is immediately available upon the SEC Office’s request for a review or an inspection for the first two years. 2 Clause 4

of the complaint. Such document and evidence shall be stored in the manner which is immediately available upon the SEC Office’s request for a review or an inspection for the first two years. 2 Clause 4

No If yes, please summarized the results of inspection in the space below 5. Declaration I hereby declare that all information provided in this application and its attachments are true and correct