/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
of structured notes in the type of physical delivery of securities, or the report of the conversion to underlying shares of convertible bonds, shall be submitted in accordance with rules, conditions
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992) , with the approval of the Capital Market Supservisory Board, Section19
Capital Market Supervisory Board concerning Application for an Approval of Offer for Sale of Newly Issued Securitized Bonds ; (7) structured notes; (8) debentures structured with burden on the debenture
provisions in relation to restriction of rights and liberties of persons which Section 29, in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of
rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand so permit by
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and