with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand
…………………………….. Authorised person sign (…………………………….) on behalf of the applicant. Position ………………………………. Date ………………………………….. Affix the company’s seal (If any) Note: The Application and supporting documents according to the
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
use the information and computer system such as application system, internet accessing privilege etc. to the user as a manner of duties and responsibilities. It shall determining the privilege only in
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the