latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
denying or limiting the securities company’s responsibility to the clients’ assets, and in case of loss of or damage to clients’ assets resulted from omission of duties by the securities company, there
, impersonation, delivery of chain e-mail, and disclosure of the organization’s sensitive information. 4. IT Asset Management 4.1. Responsibility for Assets Objective: To ensure that the critical IT assets are
ข้อมูลที่เป็นความลับของผู้ประกอบธุรกิจ เป็นต้น 4. การบริหารจัดการทรัพย์สินสารสนเทศ (asset management) 4.1 หน้าที่ความรับผิดชอบต่อทรัพย์สินสารสนเทศ (responsibility for assets) วัตถุประสงค์ เพื่อให้ทรัพย์สิน
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
of client’s assets in writing, elaborating the rights, duties, and responsibility of both counterparties. In this matter, such contract or agreement shall not have any statements denying the securities
, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use