such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
already had independent director in accordance with the regulations of such regulators, it shall be deemed that the intermediary has had the independent director in accordance with this Notification. In
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading
Website of the authority Telephone number of the authority E-mail of the authority 4.2 Is the audit oversight authority you registered with a member of International Forum of Audit Regulators (“IFIAR
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading
in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact approved or registered by regulators of foreign capital markets accepted by the Office on
International Forum of Independent Audit Regulators (IFIAR) หรือ European Commission (EC) (ข) ผู้สอบบัญชีต่างประเทศที่อยู่ภายใต้การกำกับดูแลของหน่วยงานอิสระที่ ทำหน้าที่กำกับดูแลผู้สอบบัญชีในประเทศที่ได้รับผลการ
demonstrating a comparison between the laws and regulations of Home and Host regulators relating to management of NRI CIS ( issued by CIS Operator ) 9. A fee of THB100,000 (VAT exclusive) payable in the form of
ของหน่วยงานที่มีลักษณะใดลักษณะหนึ่งดังนี้ (ก) หน่วยงานกำกับดูแลที่มีมาตรฐานในการกำกับดูแลผู้สอบบัญชีซึ่งเป็นที่ยอมรับโดย International Forum of Independent Audit Regulators (IFIAR) หรือ European
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...