opening application form and supplementary documents out of the office. The SEC is of the opinion that taking out company assets without authorization and clients? trading information which is considered
ตรวจคุณภาพงานสอบบัญชีประจำปี 2556 ได้ที่เว็บไซต์ ก.ล.ต. http://www.sec.or.th/TH/RaisingFunds/EquityDebt/Documents/activities_report_th_2556.pdf
of the bond maturity date, an adjustment of the bond interest rate, a partial repayment of the principal, and the approval to enter into any agreements, arrangements, or related documents. Such actions
such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of
operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. Clause 6. The SEC shall consider and issue an order relating to the
business operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. 2 As added by the Notification of the Securities and Exchange
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the