approval fee. Meanwhile, potential issuers may have their credit rated and use the rating results as a guideline for enhancing their business practices. ?Bond is an efficient instrument for raising fund and
shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a
Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office
transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending
guideline for disclosing the objectives of fund spending shall be in accordance with the manual for disclosure of information in the registration statement for securities offering and the annual registration
disclosure checklist for Form 56-1 as a guideline for preparing the information in Part 2.2 to Part 2.4 of Form 69-1 as most of the disclosed information is of similar nature. Contents Page Part 1 Executive
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
นมีอ านาจประกาศก าหนด แนวทาง (guideline) การปฏิบัติในรายละเอียดของข้อก าหนดตามประกาศนี้ เพื่อเป็นการให้แนวทาง ปฏิบัติที่ถือว่าเหมาะสมและสอดคล้องตามประกาศนี้ และหากบริษัทจัดการปฏิบัติตามแนวทาง ดังกล่าว