. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm
International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
take the computer out of the company such as deliver to repair or destroy the information which stored in media recorder the etc.. [A] 2. Controlling the users privilege · Determining the privilege for
course and evidence of attendance of the Contacts to be presented to the Office following completion of the training or seminar or upon the Office’s request. In this regard, the Office may request the
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report