the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
.”) หลายแห่งแจ้งว่า วิธีการคำนวณเงินกองทุนเพื่อรองรับความรับผิดจากการปฏิบัติงาน (“operational risk capital”) กรณีที่เป็นบริษัทที่เพิ่งเริ่มประกอบธุรกิจมีความซับซ้อนเข้าใจยาก และขอให้สำนักงานพิจารณาปรับปรุง
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
certified public accountant No.………………..., working with ………….(name of the audit firm)…………., hereby certify as follows: 1. My immediate family members, including spouse and minor children, and I do not hold any
I, Mr./Mrs./Miss ………………………. ……(applicant’s name), certified public accountant number ………………... working with ……………………………….(name of audit firm’s) an audit firm incorporated in …………………………………...…….. (name
within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for