from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
allocation, the intermediary shall make any arrangement to ensure that the clients recognize the risks of such investment or transactions. Clause 36 For the purpose of considering ability of a client to
Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018, hereby issues guidelines for considering to recognize the supervisory measures on investment management of
structure: (i) That is aimed at cooperation, and (ii) That is clearly aimed at profit or cost-sharing or shares common ownership, control or management, common quality control policies and procedures, common
mutual fund with the Office; (6) transferring ownership of any remaining assets to the Office; (7) undertaking any other actions as deemed necessary for the completion of the liquidation; The liquidator
costs and proportionate ownership, control or management power, have commons quality control system, business strategies, shared names or shared significant professional resources. The related parties or
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
ownership (for example, land, building, factory and machinery), and the characteristics of ownership (if applicable). The presentation of the total amount may be asset category-based, not item-or company
use for business undertaking with or without ownership. (For example, land, building, factory and machinery. The presentation of the total amount of such assets may be asset category-based, not item-or