identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

incriminated nor prosecuted under the laws, either Thai or foreign, on securities and exchange, finance company, securities company and credit foncier, commercial bank, life insurance, insurance or other laws

availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with

position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the

case file and all relevant documents to the Office for filing. Chapter VII Arbitrator’s Fee and Other Expenses ________________________ Clause 32. The arbitrator’s fee shall be charged at a rate of two

shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities

of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading

charged on the derivatives transaction. Clause 4 A derivatives broker shall at the minimum include the information as set out under Clause 3(1) and (3) as well as the following information on the evidence

. 9.3 Reputation aspect, such as, being prosecuted in serious lawsuit or having various rumours in the way that being derogatory to an organisation. 9.4 Natural disaster aspect, such as, flood

under the regulations of the Stock Exchange of Thailand; (8) Being accused or prosecuted under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit