number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly. Additionally, companies should specify additional communication channels, such as SMS

information technologies in securities business. Clause 5. The policies and procedures mentioned in Clause 4. must be regularly reviewed within the timeframe deemed appropriate by the securities company. Clause

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

in general. Clause 11/2. The investment advisory company shall submit a report or present the document relating to the mutual fund rating within the period or periodically as prescribed by the Office

will regularly review and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the

. During the period that an auditor of the audit firm has been registered with the SEC, I certify that the audit firm will regularly review and maintain the audit quality control system to comply with ISQC1

renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with International Standards on

Thailand: - (a) registration and renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate