believes that this Statement of Intent will aid the public and all capital market stakeholders to understand the SEC’s role and operations, and promote confident participants of the capital market. 2. Vision
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard Procedures) and the Usage Manual on
provider and agree to abide by the following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard
have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment