2 is suspended the approval by the Office of the Securities and Exchange Commission under the Notification governing approval for auditor within a specified period of time, such auditor shall be

business in all categories or which is suspended from its securities business in all categories by order of the SEC or the Office, and when the Office has received notice in writing from the securities

or their assigned persons with whom the intermediary communicates and provides services; (4) a procedure for monitoring and inspecting communication and provision of services, namely: (a) monitoring

judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป

category under the relevant supervisory law; (2) being capable of maintaining capital and reserve under relevant supervisory law; (3) not being restricted, suspended or restrained of its operation by

suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; ( (3) request for renewal of approval or request for

enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3

discharged the executive or personnel responsible for the cause of prohibited characteristics of the applicant. 4.7 Having not been prohibited, suspended or restricted to undertake business by the Capital

countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good