and its auditors to the non-compliance risk regarding the auditor rotation requirement • Concerns and th rea ts to independence due to familiarity may result in the negligence of compliance with
oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
ในการเป็นนายหน้าซื้อขายหลักทรัพย์ และการค้าหลักทรัพย์ ที่มิใช่ตราสารแห่งหนี้ 11/10/2543 4. หนังสือเวียน ที่ ธ.(ว) 10/2544 เรื่อง ขอความร่วมมือจัดส่งคู่มือการปฏิบัติงาน (Compliance manual) 06/02
and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to auditors and additional requirements as specified in the notification
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or