to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
auditor approved by the Office for such accounting year. For the benefits of proceeding in accordance with such provisions, the Office of the Securities and Exchange Commission hereby prescribes guidelines
). Clause 2. The auditor who is approved by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor , and is eligible to do auditing and put his or her
reference. PAGE 4 Notification of the Securities and Exchange Commission No. Kor Thor 18/2563 Re: Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved