director; (2) Being able to demonstrate that the supervisor has effective system for supervision and monitoring of the securities company at the management level in matters stipulated in sub-paragraph (1) so

this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand

duties of the Board of Directors to ensure control, oversight and monitoring of its performance with transparency and efficiency. Specify also the roles and duties of chairman and manager or the person

sufficiency to ensure work efficiency, including monitoring and supervision of the subsidiaries to prevent exploitation of asset owned by the Company or subsidiaries resulted from misconducts of the Company’s

countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good

contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the

Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment

enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3