for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
Auditor conduct this role? If so – how is professional independence maintained? 5 How does firm deal with client retention where client forms a significant part of partner portfolio and/ or where client
information about company issued securities and between organization and personnel having opportunity to take benefit from such information. Clause 6 . Securities company shall separate work unit and personnel
account of a customer; (b) profit or any other benefit resulted from derivatives transaction for the account of a customer; (c) warehouse receipt, bill of lading, or any other instruments which represent
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting