, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
the case of giving advice by individuals or investment experts or in the case where a website or electronic media collects or processes data and publishes data, there is, therefore, an issue of
capabilities; · Experts are available, if needed; · Individuals meeting the criteria and eligibility requirements to perform engagement quality control review are available, where applicable; and · The firm is
clearly understands such investment or transaction; (3) give advice to the client with balanced view [i] composing of characteristics, strong points, limitations, returns, and possible risks of risky or
passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require users to create strong passwords such as
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...