etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
and internal control information technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] o notifying to the Office
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
License and Granting of License to Provide Services as Securities Registrar (No. 4) dated 27 October 2003 (effective on 1 November 2003). 2 (4) being able to show that an internal control system capable of
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
(if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
/are under supervision of Home Regulator which has the authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which
Administration Expenses Selling and administration expenses in Year 2018 increased by Baht 49.0 million or 7.4%, as result of human resource and IT system development and internal control of subsidiaries