follows: (1) Revising the rules, conditions and procedures for the provision of services without exhibiting the characteristics of MOP by expanding the scope of service provision to also
business sector. Therefore, the Regulatory Guillotine is an important scheme under SEC strategic plan (2020-2022). SEC will lessen its processes, procedures and document required for submission toward SEC
for the Public; (2) In the case where the applicant for approval is a foreign auditor under Clause 6(2), the SEC Office shall: (a) review the facts according to the procedures and methods as prescribed
. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
Office’s approval date of the registration of SEC Account. Please specify the reason(s) of the urgency
TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 9. Notification of the Office of the Securities and Exchange Commission