with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
Licensees shall pay the fees within the 31st day of January of the following year. In case of termination of business or revocation of license, the licensees shall pay the unpaid fee or the remaining fee
termination of business or revocation of license, a licensee shall pay the unpaid fee or the remaining fee within thirty days from the date when the Minister approves the termination of business or revocation
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
investment, in case of holding shares of 10 per cent or more of sold shares in any juristic person, the name of the juristic person, category of business, unpaid amount of money, and proportion of equity in
considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the
shall conduct the Know Your Client procedure on a continuous basis and update the information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the