service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

unauthorised person for access risk, integrity risk of information or the compliance of computer. For the preventing of trespass via the system have an objective for preventing person, virus other malicious code

The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law

different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and

involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach

with the approval of the Office; (4) Be a member of the association and shall refrain from violating relevant professional code of conduct and standards as specified by the association, in any aspects

deemed to have the permission to use back office service from the Office, if the service providers are as follows; (1) The Stock Exchange of Thailand; (2) Limited company or Limited public company