regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
Thai) : Title First Name Last name First name / Last name (in English) : Title First Name Last name Former First name / Last name (if any) (in Thai) Title First Name Last name Date of Change Former First
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
foreign country, there shall be consideration on change or uncertainty regarding economic, political, social and legal issues of the foreign country as well as the complexity in business continuity
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the