company under the method specified in Clause 18 (1) (a) or (2) (a) shall not be considered as the appointment of an agent for the custody of client’s assets. Clause 9. A securities company shall not engage
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
Unofficial translation FORM 35-E2 Letter of Consent (Inspection of the director and executive’s qualification on the company’s request) Attention: Secretary General, the SEC Office Whereas I
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
participating in the regulatory sandbox, and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related to obligations to damage that may be
passes a resolution to offer to the applicant the newly issued securities and to give consent to the applicant not to make a tender offer for all securities of the business after the acquisition of such
in accordance with the rules as specified in the notification of the association approved by the Office. In case any derivatives contract of which the calculation on method has not been determined by
conditions different from the provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox, and that the service user’s consent is
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself