undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
Impact Measurement and Management (SDGs-IMM) for businesses to apply in their operational processes and integrate into the preparation of annual reports following the 56-1 One Report standard.Mrs
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company