following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

the date of the withdrawal. The provisions of Section 103 shall apply mutatis mutandis to the persons with whom the securities company enters into an agreement allowing such persons as well as those who

securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back

related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each

and derivatives business operators located in Narathiwat, Pattani, Yala, Satun and Songkhla provinces shall include Chinese New Year as well as Hari Raya Puasa (Aidilfitri Day) and Hari Raya Haji as