to appoint a representative for the arbitral proceeding or intends to appoint any person to assist in the arbitral proceeding, the party shall notify the Office of the name and address of such person
through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
License No. Position Educational Qualification Experience in Auditing (years) 1. 2. 3. 4. (Additional details can be submitted as attachments) Details of assistant auditors who assist the audit engagement
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
be accepted from and offered to audit clients, their directors, officers and employees, and should issue guidance to assist partners and staff to comply with such policies 12 Any significant gifts or
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
or payments in accordance with the regulations prescribed by the Bank of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
means, shall be liable to the penalties as provided in such provisions. SECTION 90 Any person who does any act to assist or facilitate other persons to commit offences under Section 80, Section 81