and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the

from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply

entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client , an intermediary shall consider received information as prescribed in Clause 31 in order to identify the real

Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018, hereby issues guidelines for considering to recognize the supervisory measures on investment management of

complaint unit; (10) demonstration of the following statements in a rectangle with the letters of not smaller in size than the size of letters of general content: “Securities investment may encounter both

Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is

; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of

for acknowledge and control to comply . [A] 2. Controlling the development or alteration the operational system 2.1 Request. · A request for development or alteration the operational computer system

to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in

securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to