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
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the
operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of
maturity; (4) investing in bill of exchange or promissory note that ordered payment or issued by a commercial bank or other banks established under specific law or securities company licensed to undertake