checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform

local distributor of beverage products in Vietnam) to carry out a trading business of energy drink product in Vietnam. The purpose of this investment is to expand the overseas business of the Company. The

clearing house shall set out rules on how to carry out the actions under Paragraph 1. Clause 17 A derivatives clearing house may not use an outsourced service provider with respect to custody of assets

entering into every such transaction, except in the following cases whereby the management company may carry out the transaction immediately: (1) a transaction for an acquisition or a disposal of securities

carry out the transaction immediately: (1) a transaction for an acquisition or a disposal of securities or a financial instrument at a fair value in the secondary market where public disclosure is made

different from carry out a business cause of the securities company such as access risk integrity risk that escalate because of the operation of the outsourcing. Therefore, IT outsourcing have an objective

IT outsourcing may cause a risk to the securities company in various means different from carry out a business cause of the securities company such as access risk integrity risk that escalate because

Unofficial Translation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The

Unofficial Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot

Microsoft Word - ลำดับที่ 62_5_อธ6-49สายงานfinal.doc (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference