indicate that the system of quality control is insufficient. 2) Systemic, repetitive or other significant deficiencies that require prompt corrective action 2 Does the firm communicate (Audit Compliance

power to impose one or several sanctions and shall also have the power to order the subjected person to undertake or refrain from undertaking any action in order to rectify or prevent any repetitive

. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note : The rationale for issuing this Notification (1) to revise the qualifications of the

of promissory note as the case may be as a supplement for the usage of credit rating assessed by credit rating agencies; (4) shall regularly revise the suitability of the credit rating selected

_______________________________________________________________ Note : The rationale for issuing this Notification 1) to revise the rules on qualifications of applicant for approval of property fund manager whose approval is based on their holding of executive

services. In case of change of material information, the intermediary shall review the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and

application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered person to revise its

and Exchange Commission _______________________________________________________________ Note : The rationale for issuing this Notification is to revise the rules on qualifications of applicant for

regularly revise the suitability of the credit rating selected, specifically, in the case where credit rating assessed by other credit rating agencies is changed. Securities company shall make and keep

-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. The securities company must retain the related documentary evidence as prescribe in the first