for the benefit of the operation (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
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Management Companies; Chairman, Securities Analysts Association; Chairman, the Thai Life Assurance Association; Secretary General, the Thai Bankers’ Association; and Secretary General, the Foreign Banks
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work
inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an