, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face

shall have the power to specify the particulars which are material to the agreement. (As amended by Section 6 of the Securities and Exchange Act (No.2) B.E. 2542)

Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

material update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase of units of foreign

on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the

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 inaccurate or inexact, such information shall be revised and