Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Operating Control and Information Technology Security of Securities Company By virtue of Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535, the SEC Office, with the approval of the
The SEC has ordered Zipmex, by virtue of Clause 13/1(3) of the said Notification, to take steps towards meeting the minimum net capital requirements, taking into account clients’ best interest as
take the issue into consideration. The proposed revisions will include requirements on (i) adequate numbers of investor contacts, (ii) presentation of seller (i.e. showing of identification card), (iii
Page 1 of 3 GEL.CS.015/2561 15 May 2018 Subject Management Discussion and Financial Analysis for the operating results of the first quarter of 2018, ended 31 March 2018 To Director and Manager The
/ Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registered Capital (Section 96) | - |- Revocation of License (Section
Agreement / Other Agreements |- Auditors | - |- Approval (Section 106) |- Accounting and Financial Statements (Section 105, 106) |- Reporting Requirements (Section 109) |- Disclosure | - |- Advertising
Page 1 of 5 GEL.CS.021/2561 14 August 2018 Subject Management Discussion and Financial Analysis for the operating results of the second quarter of 2018, ended 30 June 2018 To Director and Manager The