the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to

customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral

procedures. E Engagement documentation: 13 Has the firm established policies and procedures for engagement teams to complete the assembly of final engagement files on a timely basis after the engagement

Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliament, as follows: SECTION 1. This Act shall be called the "Securities and

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

advice and consent of the National Assembly, as follows: Section 1 . This Act shall be called “the Provident Fund Act B.E. 2530”. Section 2 .** This Act shall come into force on and from the day following

Assembly, as follows: SECTION 1 This Act shall be called “the Trust for Transactions in Capital Market Act B.E. 2550.” SECTION 2** This Act shall come into force after ninety days from the date of its

 virtue of law; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Assembly, as follows: SECTION 1. This Act shall be called the “Derivatives Act B.E. 2546