of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
countries; (2) notifying regulations regarding the giving of advice complying with law concerning securities and exchange to the foreign securities business operator ; (3) notifying name and address of such
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis , only the part of investment management. Clause 12. In cases where the person
fails to maintain the capital in accordance with the Notification concerning Maintenance of Capital or is in the process of complying with Clause 12 (3) until the intermediary is able to maintain the
securities underwriter as prescribed in Clause 5 or a person as prescribed in Clause 6 would be able to subscribe such securities by complying with the following conditions; (a) in the book building process
should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information