the Notification of the SEC Office regarding 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
whether they are in accordance with the advertising and associated rules as well as be approved by CEO before publication. After publication, company’s compliance unit must monitor and examine all
the Memorandum of Understanding on Streamlined Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Scheme; (2) details of the scheme are in consonance with Part I
the Memorandum of Understanding on Streamlined Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Scheme; (2) details of the scheme are in consonance with Part I
accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the
examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the notification of the Securities and
certainty and accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with
ดูแลการปฏิบัติงาน (“compliance unit”) ซึ่งมีบทบาทในการ ก ากับดูแลเพื่อให้บริษัทปฏิบัติตามกฎหมายได้อย่างถูกต้อง จึงมีส่วนส าคัญในการลดความเสี่ยงในด้าน กฎหมายแก่บริษัท และผู้บริหารของบริษัท ตลอดจนช่วยรักษา
e-service Online Submission See canceled document Securities Brokerage Business >> Compliance / Internal Control Type Title Section See Document Status Notified Date Effective Date 1. Notification
e-service Online Submission See canceled document Securities Underwriter Business >> Compliance / Internal Control Type Title Section See Document Status Notified Date Effective Date 1. Notification