Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose
guidelines for investors to understand and monitor future business directions of the Company; 1.1.2 Material changes and developments Give a brief account on the material changes and developments regarding the
to issue this notification in order to monitor and control the offshore investment volume of the securities companies.
Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with