Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any
accurate and complete; 2. I fully understand the provisions in the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market and am prepared
measures for balancing the power between the Board of Directors and the Management in (1) increasing the proportion of independent directors to more than half, or (2) appointing an independent director to
Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
ที่เพียงพอต่อมูลค่าการใช้สิทธิตามตราสารดังกล่าว (fully covered) ไว้ตลอดเวลาที่ได้ลงทุนหรือมีไว้ซึ่งตราสารนั้น - 4 - เหตุผล สำนักงานได้ยกเลิก product limit ในตราสารดังกล่าว (เดิมกำหนด รวมกันไม่เกิน 5
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
services of which the intermediary may provide to the clients shall be fully qualified as follows: (1) being an outbound product with the description and conditions similar to the capital market products