, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality
consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
a statement of consent to the civil sanction and fully paid a civil penalty of 500,000 baht*. The other six offenders made an appointment to make a statement of consent to pay a separate civil penalty
the above regardless of the title, and includes any person who has full or partial authorization under an agreement of management; “member” means any member of a derivatives exchange. 3 Chapter 2
on special purpose juristic persons for securitization; Be it, therefore, enacted by the Majesty the King, by and with the advice and consent of the National Legislative Assembly, as follows: Section 1
persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office will
minor shall obtain a consent from the rightful representative before executing any legal acts and any acts executed by a minor without such consent shall be voidable unless regulated otherwise, etc