servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31
. ......................................................................................................................................................... As at (the last day of the pervious accounting period).................................., the Audit Firm has the total of ..............employees, comprising of the employees who provide auditing
investors having the same characteristics as persons under sub clause (a) to (q) mutatis mutandis . (3) “ market maker ” means any person registered as market maker with a derivatives exchange to provide
for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning
provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31 to be current at reasonable time or when it appears
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
Registration Statement and the Annual Registration Statement. Part 2.2 Business Operation 1. Policy and overview of business operation Provide an overview on the background and nature of the businesses operated
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
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and