exemption has been granted by the SEC; (4) being a director, a manager or a person with power of management of any other securities company; (5) having been removed from a position of chairman, director or
……………………………….…….………. Detail of such incident ……………………. (attachment) (if any) O No (5) Was removed from office of director, manager or person with managing power of other securities company under section 144 or section 145 of
been removed from a position of director or manager in accordance with Section 144 or Section 145 or in accordance with the provisions of other laws; (5) Being subject to receivership by a court order
; and · whether they be removed from the engagement team; and · a review of the audit work performed by the team member in the current and, where appropriate, the most recent audit that performed by those
…………………………………………………………………… O no 6.5 Having been removed from office of chairperson, director or manager under Section 144 or Section 145 or under the provisions of other laws: O yes O no 6.6 Being a political official: O yes O
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...
availability and integrity; 4. The intermediary should have controls on unauthorized removal of equipment assets out of areas. Also, there should be records of equipment assets being removed off-site and
(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...