The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
directly or indirectly holds shares of the other party in the amount exceeding fifty percent of total issued and paid-up shares; or (2) In the case where the party that manages funds has the power to control
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
(%) ……………………. ………………… ……………………. ……………………. ………………… ……………………. ……………………. ………………… ……………………. O no 5.2 Being an employee, officer, advisor with permanent salary or power of control of a company, parent company, subsidiary, affiliate or being a person who may be in conflict: O yes (please
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
systems for data center such as CCTV, fire alarm systems, fire extinguisher or automatic fire suppressing system, uninterrupted power supply, temperature and humidity control systems as well as maintain