Auditors and will perform my work in accordance with such Acts and Notification. I fully realize that in case I fail to comply with the Securities and Exchange Act B.E.2535 (1992) , the Trust for
Capital Market. And I perform my works based on the Act and the notification. I realize that whenever I do not comply with the Securities and Exchange Act B.E.2535 (1992), or the Notification of the Office
the end of each business day in order to realize the profit or loss from derivatives position everyday. If mark to market went against investor position, the initial margin will decreases by that amount
well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order that the client would realize the importance of asset allocation and
the following factors as well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order that the client would realize the importance
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
5(1). 2. The policy on the allocation and management of information technology resources under Clause 5(2) should be in line with the corporate strategic plan in order to achieve the goals in