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
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
Commission, guidelines, orders and circulations issued by virtue of those prescribed Notifications in the Notification of Capital Market Supervisory Board thereof, shall be repealed. For the preliminary period
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
. a large number of redemption due to panic or the issuer unable to pay the principal and the interest within the prescribed period. Such practices should be reviewed and tested. (6) Having corrective
mobile devices; (7) arrange for actions to mitigate impact when an information security incident occurs, for example, immediate disconnection upon being aware of an incident, etc. In the case that the
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as