information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in
the submitted reports or documents. SECTION 20. Any derivatives business operator which intends to cease operation in the derivatives business of the category so licensed or registered shall submit an
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
qualified to be fund manager if such approved person has the following characteristics: (1) cease to be the manager of the management company or any equivalent position called otherwise who take the highest
circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
cease to provide services temporarily until such error has been eliminated. Clause 15. This notification shall come into force as from 1 June 2007. Notified this 29th Day of May 2007. (Mr. Theerachai
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by