the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

information systems in accordance with the following criteria: (1) there shall be a user management in place to limit access for authorized users only, as follows: (a) a formal user registration process to

following criteria: (1) there shall be a user management in place to limit access for authorized users only as follows: (a) a formal user registration process to enable assignment of access rights; (b) the

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

is strictly for reference. PAGE 2 Notification of the Office of the Securities and Exchange Commission No. SorThor. 67/2558 Re: Official Holidays of Securities Companies and Derivatives Business

home country where its official agency or regulator is a member of International Organization of Securities Commissions (IOSCO), whose regulation on certain derivatives business is not inferior to those

Office and a specialist recognized by the SEC Office; (2) being an asset appraiser who is a foreign person, provided that the additional rules shall be complied with, as follows: (a) being on the official

other persons or for the benefit of the derivatives business operator, including a person who is authorized by the Board of Directors to be a member of a committee who performs the duty in management

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

of Thailand (SEC). I, the leader and authorized director of ……………………………………….……... (name of the audit firm), hereby certify and consent as follows; 1. I certify that the audit firm has audit quality