persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
information, monitoring of systems performance, and operating schedule. The operating procedures should be reviewed and updated regularly and made available to relevant users; 2. The intermediary should
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
: __________________________________ __________________________________________ (full name) __________________________________________ (company) Form updated as of June 2021 Sales Report Form for the sale of units of foreign collective
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 5. Submission Letter of Evidentiary Documentation of Audit Firm Date ........ Month ............. Year.......... To: Secretary
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
Updated by / Last Updated 01/01/2010 N/A N/A บมจ. กกก บมจ. กกก PO หุ้นสามัญ Not Confirmed บล.AA (01/10/2010 10:00:00) 6. การกรอกข้อมูลเกี่ยวกับการเสนอขายหลักทรัพย์ ให้ผู้ส่งกรอกข้อมูลเกี่ยวกับการเสนอขายหลัก
systems are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Updated 2015) PAGE 4. Certification of Leader of Audit Firm Date ........ Month ............ Year.......... To: Secretary-General Office of the
the correctness of such information; however, the profile shall be updated at least once a year or upon significant change of information, and the updated version shall be sent to the customer to