and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the audit quality when
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
Transmission of Information B.E. 2564 (2021). We hereby apply for the termination of Company Account from the SEC Office, to take effect from.................................................. We acknowledge that
cancellation of SEC Account from the SEC Office, to be effective from .................................................. onwards. We acknowledge that the application for cancellation herein shall become
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in accordance with the relevant rules and for the work
2019 Annual General Meeting of Shareholders. 2. To acknowledge the report on the Company’s operating results as at the year 2019. 3. To consider and approve the 2019 financial statements for the year