Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

เอกสารรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขประกาศเพื่อให้บริษัทหลักทรัพย์ต้องทำ suitability test สำหรับการจัดจำหน่ายหลักทรัพย์ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible

from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case

product or historical market activity and [ii] forecasting future performance of securities and derivatives prices or market activity from graphs, technical analysis concept and scenario test. Clause 3 The

and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain

and 2 attached herewith. The OFAR system will be available for a test run during 1-30 December 2016. Thereafter, intermediaries will be required to submit their daily status report via OFAR, starting

law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for