the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital
paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the
the 9th NACC Integrity Awards 2019” - Thai AMC should submit the application for establishment of mutual fund via the SEC’s Online Fund Approval and Management System (OFAM) together with all the
3 ( Any person wishing to apply for a license to provide services as securities registrar shall submit an application for such license to the Securities and Exchange Commission through the Office
3 Any person wishing to apply for a license to provide services as securities registrar shall submit an application for such license to the Securities and Exchange Commission through the Office. The
business operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this
operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this Notification
executive. Clause 7. Unless otherwise specified in Clause 9, the derivatives broker intends to seek an approval for derivatives trading according to Clause 5 shall submit the application for approval to the
Clause 5 shall submit the application for approval to the Office together with supplementary documents according to the forms and procedures provided in the Office’s electronic system. Clause 8. The Office