) information according to sub clause (a) and (b) arranged in form which the client would be able to understand correctly and without being mistaken; (4) the advertisement shall have appropriate caution regarding
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
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
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to
from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An