areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
resolved appropriately? Are the nature, scope and conclusions resulting from consultation documented? 8 Are sufficient resources available to enable appropriate consultation to take place? If yes, please
: 1. roles and responsibilities of the cloud provider and the liabilities to the intermediary in the case that the cloud provider fails to comply with the agreement;. 2. operating procedures that meet
services within the scope of each type of license granted to the intermediary ; (2) To arrange for clients to access the information prepared by the foreign intermediary or the issuer or the offeror of such
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
appointed or assigned by a fund management company to consider and determine the scope of investment of mutual fund, private fund or derivatives investment management; “ investment management assistant
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for