Office of the Securities and Exchange Commission relating to the handling of customer’s complaint, as the case may be, and it appears the fact that; 1. the claimant is not contacted by the complaint
updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under subclause (1), such information shall be revised and updated at
as well as the contacted person as an evidence. The money in which the employer should deliver to the fund comprises of (a.1) saving and contribution payable to the fund (a.2) employer’s surcharge
inaccurate or inexact, such information shall be revised and updated immediately; (3) in cases where any client cannot be contacted for the purpose of revising and updating the client’s information under
) Engagement partner and engagement quality control reviewers? If yes, Please describe the policies and procedures. If no, How does the firm deal with this situation? Have the conclusions reached been documented
engagement competently If yes, how this decision is reached and whether it is documented. Does the firm specify conditions that require evaluation of a specific client or engagement, obtaining relevant
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...