Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc
personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
กรณีฉุกเฉิน (Backup and IT Continuity Plan) 7. การควบคุมการปฏิบัติงานประจำด้านคอมพิวเตอร์ (Computer Operation) 8. การควบคุมการใช้บริการด้านงานเทคโนโลยีสารสนเทศจากผู้ให้บริการรายอื่น (IT Outsourcing