an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds

plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the

continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3

at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel

nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of

Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in

dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and

charged with governance of the audit client are appropriately informed on a timely basis of all significant facts and matters regarding the firm’s objectivity and independence, related to the provision of