office that enables the management company to comply with all prescribed rules. Where the application is for an establishment of an online branch, the company shall also demonstrate that: 1. for the case

who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two

arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in

the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor

performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the