where the securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a

approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person

change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like

แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and

shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is

Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved

securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation

been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody