application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
operation of financial asset CIS that are offered to the general public: _______________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
remunerations of directors and executives,9 the independence of the Board of Directors from the Management, the director development and assessment of duty performance of directors including supervision of
1 PAGE 2 ระบบการควบคุมภายในเพื่อป้องกันการนำทรัพย์สินของลูกค้าไปใช้โดยทุจริต หมวดที่ 1 ระบบการกำกับดูแลการเก็บรักษาทรัพย์สินของลูกค้า (management oversight) ผู้บริหารจะต้องรับผิดชอบต่อการจัดให้มี 1
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
, describe such aforesaid oversight framework and clarify whether and how it complies with relevant regulations. (2) Disclosure of agreement between the Company and other shareholders regarding management of
Commission Internal Control System to Prevent the Misuse of Client’s Assets Chapter 1 Management oversight system Management shall be responsible for providing; 1. Policies and practices on keeping client’s