Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
) Chapter 2: IT Security with the following details: 2.1 Information Security Policy; 2.2 Organization of Information Security; 2.3 Human Resource Security; 2.4 Asset Management; 2.5 Access Control 2.6
the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Clause 24/1 ( In cases where the securities intermediary in the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
(%) ……………………. ………………… ……………………. ……………………. ………………… ……………………. ……………………. ………………… ……………………. O no 5.2 Being an employee, officer, advisor with permanent salary or power of control of a company, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply