performed by engagement personnel meets applicable standards, regulatory requirements, and the firm’s standard of quality. Engagement performance encompasses all phases of design and execution of the
139(4) of the Securities and Exchange Commission Act B.E. 2535 (1992) as amended by the Securities and Exchange Commission Act (No.2) B.E. 2542 (1999) which contains certain provisions in relation to
Commission Act B.E. 2535 (1992) and Section 139(4) of the Securities and Exchange Commission Act B.E. 2535 (1992) as amended by the Securities and Exchange Commission Act (No.2) B.E. 2542 (1999) which contains
virtue of duty performance. (2) notifying the service user that the provision of services is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the
performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business
(Form 61-2) (The same form as submitted to the SEC Office for approval request, which contains current information, is acceptable). For your kind consideration. Yours sincerely, Signature
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
3 of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section
relationship with the client is terminated. In this regard, the SEC Office views that the Notification No. SorThor/Nor/Yor/Khor. 3/2550 contains details that overlap with the rules issued by the AMLO and thus