: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm
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
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
/or admitted to trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker
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
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising