Foreign Auditors in the Capital Market according to the (select only one that apply) Clause 6(1) of the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 Re: Approval
dispute for which each claimant seeks compensation not exceeding one million baht, and (3) In case of the dispute arising from the providing of securities business services, or the failure to comply with
: Representation and Warranty 3.1 Director and Executive’s Representation and Warranty (a) I have given the company my personal information as stated above and hereby represent and warrant that all information and
) provident funds; (12) mutual funds; (13) juristic persons having amount of an investment from one hundred million baht of the latest financial statement which audited by the auditor; (14) juristic persons
being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal information in
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc
security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
than one investment advisory companies, the investment advisory agent shall, prior to giving an advice, declare to the customer that such advise is acted on behalf of the agent of which investment