custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

bonds, in this regard such securities company shall: (a) Provide information on risks and description of bond with one or more of the following methods; (1) Arrange to have staff at the premise of the

premise in advance within reasonable time. In case of closing of full-service branch office or online branch office, the securities company shall ensure that customer can use service of head office or other

branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within

application ที่สำคัญ ของบริษัท (on-premise) จำนวนระบบงาน หรือ application ที่ใช้ในการประมวลผลหรือสนับสนุนกิจกรรมสำคัญของบริษัท โดย ติดตั้งภายในศูนย์คอมพิวเตอร์ หลักภายในบริษัท หมายเหตุ: application ที่สำคัญ

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

with the professional standards on a continuous basis. Such audit quality control system complies with the Thai standards on quality control issued by the Federation of the Accounting Professions (FAP

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

operator shall prepare reports of financial status and operating performance on a monthly basis, and file them with the SEC Office within the fourteenth day of the following month; (2) the business operator

report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only