with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
directors, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (5) Not being involved in the management of any mutual fund in such a way
deemed that the intermediary has already complied with the requirements under this Notification; (2) order an intermediary to amend, act or omit to act in any way to comply with this Notification or the