granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

operator shall prepare reports of financial status and operating performance on a monthly basis, and file them with the SEC Office within the fourteenth day of the following month; (2) the business operator

report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only

รองรับรับความเสี่ยงจากการเปลี่ยนแปลงของอัตราดอกเบี้ย (interest rate risk) ความเสี่ยงที่บริษัทอาจไม่สามารถป้องกันความเสี่ยงได้ทั้งหมด (basis risk) และความเสี่ยงจากการเปลี่ยนแปลงราคาล่วงหน้าของสินค้าที่เกิด

personnel with the firm’s list of clients and any related entities and inform them on a timely basis as to any changes in the firm’s clients and any related entities to which independence policies apply? a

documentation on an annual basis. 12 Has the firm developed or adopted other quality control materials? If “yes,” describe those materials: 28

“Contacts”) pursuant to Circular No. SEC.Khor.(Wor) 25/2550 dated 17 June 2007 Re: Guidelines for the Renewal of Approval for Investor Contact whereby the renewal of approval shall be considered on the basis

securities trading center; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit strategy in case of