· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
organization ; (3) unit or organization of foreign government, international organization and juristic person under law of foreign jurisdiction; (4) juristic person established by specific law; and (5) issuing
, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
from 16 April 2008. Notified this 2nd day of April 2008. (Mr.Surapong Suebwonglee) Minister of Finance Chairman of the Securities and Exchange Commission Remarks: The reason for issuing this Notification
Commission ______________________________________________________________________ Remark : The rationale for issuing this Notification is to ensure that the person granted a license to be derivatives broker
Exchange Commission Remark: The reason for issuing this Notification is to allow derivatives business operators licensed by the Office to provide services for additional juristic persons who are well
. Notified this 12th day of March 2008. -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Remark : The rationale for issuing this