2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
appearing in the licensed operator’s list of shareholders submitted to the Ministry of Commerce. Clause 4 This Notification shall come into force from 1 December 2017. Notified this 31st day of October 2017
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and
, but they shall keep monitoring such operations. Division 3 Impacts from emergency incidents which may cause major operational disruptions to the critical functions Companies shall arrange an assessment
of registration of the branch office above with the Ministry of Commerce. Sincerely Signature: ...............................(authorized person) For and on behalf of
) Certificate of company registration; □ (2) The copy of memorandum of association of the company which certified by the company-partnership registrar of the Ministry of Commerce; □ (3) The copy of article of
product และดำเนินการให้มี sales process ที่สอดคล้องด้วย 3.1.5 sales process เพิ่มเติมสำหรับการขาย risky / complex product (1) การประเมินความรู้ความสามารถในการลงทุน (“knowledge assessment”) ของลูกค้า มี