sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical

derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid

Section 81 Securities and Exchange Act B.E. 2535 Section  81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report

owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of

In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

) “ major shareholder ” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of the first paragraph, a

precious metal in Thailand; (3) “ major shareholder ” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of

” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the

assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their

of the securities from a company or owner of securities for sale to the public in consideration of a fee or other remuneration whether with or without any conditions. "mutual fund management" 3 means