conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
entities; 3. I am not an officer or employee of my audit clients or its related entities; 4. I have characteristics and qualifications that meet all criteria in the Notification of the SEC Office regarding
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
designated partner with the required authority and resources and take responsibility for the adequacy of firm’s procedures? 4 For firms without designated Quality Control partner, do the principals meet
. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean
. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the
Exchange Act (No. 2) B.E. 2542 (1999) and Section 15, Section 18, Section 23(3) and (5) and the first paragraph of Section 24 of the Derivatives Act B.E. 2546 (2003) , the Capital Market Supervisory Board
more than the proportion specified in the notification of the SEC. In cases where the settlor or the trustee, by virtue of beneficiary, receives interest more than the proportion specified in the first
company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional