Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
knowledge based on the guidelines and other relevant practices as follows: 1. Participation in activities accepted by the Office 1. Form of activities The Office prescribes the form of activity in which the
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
an audit oversight authority. Signature of the applicant to certify true copy is required. (9) Photocopy of the latest inspection result or report issued by the audit oversight authority. Signature of
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
control in the subsidiaries operating the core businesses and other oversight guidelines for activities such as approval of increase or decrease of capital and dissolution of subsidiaries, etc. In case of a
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the