experience and authority? 3 Does the monitoring process required those performing the engagement or the engagement quality control review are not involved in inspecting the engagements? 4 Does the firm have
Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the
Office. It is important to note that this is an unofficial English translation which has not been subjected to an official review by the SEC Office. Readers should be aware that only the original Thai text
Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
stipulted by the SEC Office. “ general liabilities ” means total liabilities deducted by qualified liabilities ; “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not