) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
, revaluation surplus (deficit) in investment, it shall separate surplus (deficit) categories of each its categories. Financial statement of the sole company (Unit:Baht) Ordinary share Stocks right and warrants/1
. Computer Operation. 8. IT Outsourcing. Policy of Security of the Information Technology. Objective Providing a policy of security of the information technology has an objective for the user and the concerned
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
from the SEC Office; (18) “ association ” means an association related to securities business which is licensed by and registered with the SEC Office with the objective to promote and develop securities
Information This part contains registration statement and prospectus as follows: (A) The registration statement shall have at least the following information: 1.1 Investment objective / policy 1.2 Capital of