shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory

. Clause 4 An applicant may obtain precious metal derivatives brokerage license by possessing the following qualifications: (1) having paid-up registered capital not less than 100 million Baht; (2) not

the total voting rights shares. Clause 4 An applicant may obtain precious metal derivatives brokerage license by possessing the following qualifications: (1) having paid-up registered capital not less

custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner

cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible

supervision of other organization and later obtain license to undertake securities business; (b) Any juristic person established under foreign laws which is permitted by such laws to undertake securities