. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm
International Standard on Quality Control 1 (ISQC1) issued by the International Federation of Accountants (IFAC). Additionally, the firm consents audit quality inspection carrying out by inspectors of the SEC. 2
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in
Fund or CISs in Home Economy satisfied those stipulated in section 17 of the Passport Rules (Annex 3) of the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds