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.

the conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is unable to maintain such status but intends to continue undertaking the derivatives business as

the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications

. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is

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

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

professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in

the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments

an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has

management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related