supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first

well as how the auditor response to identified risks, key matters detected throughout the auditing process, and suspicion related to unusual transactions that may be an indicator of fraudulent act; 6

information that could be used for staff evaluation and development. Example 3 : There was lack of follow-up and action taken with staff absent from core modules training. Example 4 : Staff performance

the SEC Office used in its consideration of the approval of the offer for sale of the structured notes have changed, and if such facts and circumstances had been known to the SEC Office prior to the

there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders

suspicion that it belongs to the clients; (2) securities; (a) segregated by deposit with central securities depository, or the Bank of Thailand in a manner that such deposits are clearly identified that the

before date of maturity; (b) segregated by its own custody which must be done in a manner that such money can be clearly identified without suspicion that it belongs to the clients; (2) securities; (a

existence, and that the material facts which should be disclosed have not been concealed. The language used for the initial submission of information or documentation to the SEC Office under this Notification

Office used in its consideration of the approval of the offer for sale of the debt securities have changed, and if such facts and circumstances had been known to the SEC Office prior to the approval of the

appointed as the debenture holder’s representative by the company. Clause 4/35 In cases in which any of the following grounds for suspicion become apparent to the SEC Office, the SEC Office may give an