securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP
control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with
extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to
the services prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to
outstanding shares are held by the company under (a); (c) Any company whose shares are held in continuous chain beginning from the company whose shares are held by the company under (b), provided that the
Notification concerning Maintenance of Capital within thirty days from the day it is or ought to be aware of the failure to maintain the capital, unless extension of such period is granted by the SEC Office on