been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
undertake the business as approved. Clause 8. Any changes in the operation system from the system approved by the Office, the custodian shall notify the Office in advance in writing. If the Office has no
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
the SEC Office in advance within 15 days prior to such outsourcing. Clause 15 An intermediary shall have a policy, measure and guideline for outsourcing operational function to a service provider in
under Clause 2(5) as of the date when the application is filed. To be able to make any changes to the operational systems under Clause 2(4), the fund supervisor shall notify the Office in advance in
Management of Property and Loan Funds ; “ inside information ” means any fact that is material to the change of the prices of securities or derivatives and has not been disclosed to the public, and any