additional information and facilitate the SEC Office’s officials or assignees in conducting a site visit and inspection over the audit quality control system of the audit firm where I work for, for the benefit
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
MoU aims to facilitate cross-border offerings of funds between Hong Kong and Thailand with a view to elevate Thai asset management companies (“AMCs”) competitiveness in the international arena while
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to
assets . For the purpose of (4) in the first paragraph, the term “ information processing facilities ” means any equipment, operating systems, or infrastructure that are necessary or facilitate data
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
issued by virtue of Section 117 of the Securities and Exchange Act B.E. 2535 (1992) ; (2) units of a foreign collective investment scheme. Clause 37 To enable operational continuity of intermediary in
accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the
evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the