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

prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

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

which the possible effects on current period’s figures exist, where: ( 2.3.1 corresponding figures contain material misstatements but there is no effect on current period’s figures (paragraph

be in effect from 1 December 2560 (2017) onwards. Notified this 31st day of October 2017. (Mr. Voravidh Champeeratana) Chairman Securities and Exchange Commission

possible cumulative effect on the financial statements (paragraph number ........) With emphasis of matter paragraph on ( 4.3 Material misstatements arising from ( 4.3.1 Appropriateness of selected

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

significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and