provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would

change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity

cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information shall be revised and

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and