function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

the Securities and Exchange Act B.E. 2535 (1992) ; or (b) an appointment of third party to be a service provider in any matter which has already been subject to specific regulations under other

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports

of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3

derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling

specialist audits or audit clients in a specialist industry (e.g. financial institution) obtain/maintain the required specialist knowledge Do the firm have special training/or tailor made for specific client

. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2

material misstated, but the effects or possible effects of the matter on the current period’s figures are not material (paragraph number........) ( 2.3.2 unable to obtain sufficient appropriate evidence

or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an