indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance
or prohibit establishment of additional branch offices. Clause 9. Where any management company has been provided services in the form of a service office permitted by the Office pursuant to the
relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request
and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this 17th day of January 2017. (Mr. Rapee
the specified period, the intermediary shall prohibit such personnel from providing services to clients regarding investment in capital market products denominated in foreign currency . Notified this
derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have
years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security