against unauthorized disclosure, modification, removal or destruction of sensitive information stored on media. Clause 18 An intermediary shall establish physical and environmental security measures to
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
an independent auditor at least once a year; (11) define the provision upon termination of services (exit plan) such as the provision on information retention and removal is in place to ensure that the
line or business group in the table below. This shall include at least those contributing more than 10 percent of the total income in the profit and loss statement of the latest financial year. If the
the financial statements of the latest accounting year. (please use the table attached hereto). 11. In the case where the applicant has affixed signature in giving opinions on the auditing for less than
Clause 29, the removal shall begin when [i] the court has made final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the
shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under Clause 29, the removal shall begin when [i] the court has made
fund manager manages the fund in a manner that may cause damage to the fund, the registrar shall have the power to order the fund manager to rectify or suspend such act or to order a removal of the fund
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
the Securities and Exchange Act B.E. 2535 (1992) or was removed under the provisions of other laws: O Yes (please specify) For example, date of removal…………………………………………..… By company/office