/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the
แบบแสดงราการข้อมูลประจำปี UNOFFICIAL TRANSLATION Notification of the Change of Audit Firm Date ....... Month ............ Year ....…. Dear Secretary-General of the Office of the Securities and
change in, , renewal of and termination of the agreement. (8) Stipulation of a period and method of payment of the benefit to the client while the agreement is effective. (9) Rules of practice for
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing