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securities company which is in a financial conglomerate with any of the following shareholding structures will be able to submit a request for an exemption from appointment of its independent director to the

securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment

securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information

Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting

) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to

upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the

custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b