applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
copy is required. (7) Photocopy of an evidence of certified public accountant. Signature of the applicant to certify true copy is required. (8) Photocopy of an evidence of registration as an auditor with
].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
controlling the business operation of the applicant i.e. a capital funds maintenance calculating form for a commercial bank registered in Thailand (ThorPhor. 10) as of the latest month . 2.3 Measure on
approval of auditors, or an auditor approved by the Bank of Thailand for such accounting year. The finance and securities company shall submit a copy of letter of approval of the Bank of Thailand to the
service provider, the intermediary shall specify a measure for preventing conflicts of interest in accordance with Clause 7(3) which shall cover the segregation of operation and management arrangement