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……................ 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

support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction

derivatives broker shall calculate value of instrument or securities in which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect

” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management

client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the