Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
the form as publicized in the SEC’s website. Signatures of audit firm’s leader and authorized director are required. (6) Photocopy of the applicant’s passport. Signature of the applicant to certify true
): ................................................................. (...............................................................) Authorized Person Binding the Audit Firm: ............................... Remark Audit firm’s leader and audit firm’s authorized person to affix binding signature shall affix signature together with audit
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
- ร่าง - ( แต่งตั้งใหม่ ( เปลี่ยนแปลงอำนาจ หนังสือแต่งตั้งผู้ปฏิบัติการ (Authorized Officer) วันที่ ............................................. ตามที่ข้าพเจ้า