operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any
way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the information which is given in the
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
understand its opportunities and risks. Examples of such issues include the risks and opportunities posed by climate change, a company’s approach to managing intellectual and human capital, its capacity to
or complies with the rules or conditions for obtaining an approval according to this Notification, but there is a certain fact indicating that the purpose or the substance of such offering is to avoid
Preserve Market Fairness and Transparency, Understand Industry, and be a Firm and Fair Regulator [ MESSAGE FROM THE CHAIRMAN ] (Mr. Somk id Ja tus r ip i t ak ) Cha i rman [ Message from the Chairman ]4
) Provide support to help align the Company’s practices and processes with the SDGs (2) Build capacity within the Company to better understand IMM and approaches of integrating inclusivity and sustainability
securities businesses specified in the license within one hundred and eighty days from the date of obtaining the license; (3) the licensee shall maintain the qualifications under Clause 11 and take steps in
regulatory objectives include: to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry; to help the public understand the
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer