independent director, in the case of a central securities depository; (2) adopt an effective internal control system and an efficient, independent audit system. In addition, a securities clearing house shall
appointment for examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally
securities companies. In receiving these orders, Thai securities companies may not have complete information on the clients of the foreign securities companies and their trading behaviors. Therefore, it is
the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a
Auditors in the Capital Market. 3. The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required
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