application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
is used? 6 Does the firm have job evaluation forms or criteria specific for each staff level? Please provide us evaluation forms of all staff levels. 7 Does the firm determine KPIs in job description
) and (b), being an outbound product offered for sale to each specific investors. Clause 13 In providing services to the following clients, the intermediary may provide other services regarding investment
other than (a) and (b), being an outbound product offered for sale to each specific investor. Clause 13 In providing services to the following clients, the intermediary may provide other services
business operator persuant to the law on agricultural futures trading; (4) the Bank of Thailand; (5) an international financial institution; (6) a juristic person established under a specific law; (7) a
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
securities and exchange ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or materially misleading information. Division 4 Specific
, provide information or prepare clarification under subclause (1), or provides false or materially misleading information. Division 4 Specific Regulations on Securities Borrowing and Lending
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work