similar to or in competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established
, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing of an intermediary , the intermediary shall comply
In case the association determines the guideline, having obtained an approval from the SEC Office, regarding standards of business operation, management structure, operating system or service providing
compared to the same period of prior year. It resulted from the declining of revenue and gross profit. Net profit to total revenues was at 4.8%. Revenues The structure of revenues for the three month period
the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure