shall be paid within ten days as from the date the SEC Office notifies the result of preliminary consideration that applicant possesses qualification and does not possess prohibited characteristics: (1
Commission) Certified Statement Form Relating to Acting in Compliance with Related Laws of Applicant for Custodian of Private Funds 9. Report/Form (Notification of Securities and Exchange Commission) Form
Handbookforapprovalofforeignauditors , b) inspecting audit works performed by the applicant to ensure the compliance with the ISAs, and c) inspecting the audit firm's quality control system to ensure compliance
characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same https://www.sec.or.th/EN/Documents
applicant must have the same https://www.sec.or.th/EN/Documents/Personel/Qualification%20of%20Derivatives%20Investment%20Analyst%... Qualifications%20of%20Securities%20Investment%20Analyst%20on%20Fundamental
SEC. Such applicant shall meet the qualifications, and the application be made according to the regulations prior to providing custodial service; (2) To require the digital asset
portal approval, an applicant must have the same qualifications and work systems required for equity crowdfunding, and must also have a system for assessing credit worthiness and risks of the debt
Office; (j) Systems for receiving and processing complaints of unitholders’; (k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such
) Systems for receiving and processing complaints of unitholders’; 2(k) In cases where the applicant for the registration of fund supervisor intends to appoint any person as a custody agent, such applicant