……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate
Relationship between your firm and the network (e.g. full member, associated firms) Does the firm fully apply the policies procedures and audit methodologies of the network? Yes No 3. Registration with an audit
public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
the derivatives business by means of arbitration by the SEC Office. 4The provisions of Paragraph 1 shall not apply to the case where the client is an institutional investor . Clause 11 In case the
Commission on electronic data transmission. Clause 5. This Notification shall apply to a financial statement of the accounting period ended as from 30 June 2006. Notified this 29th Day of June 2006 (Prasong
, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the characteristics as specified in the notification of the SEC. “derivatives exchange
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.