Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Approval and Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act
Capital Market Business 03/06/2014 01/07/2014 Notification of the Office of the Securities and Exchange Commission SorLorThor. 8/2557 The Approval of Personnel in the Capital Market Business (Synopsis
SorLorThor. 8/2557 The Approval of Personnel in the Capital Market Business (Synopsis) 03/06/2014 01/07/2014 Circular SEC.ID (C) 15/2562 Guidelines Regarding Roles and Expectations of Directors of
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KorKhor. 5/2551 Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
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Paragraph 1 shall be completed within twenty- one days from the date of obtaining the approval from the general shareholders’ meeting, but no later than four months from the end date of the fiscal year
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
year shall be completed within twenty-one days from the date of approval by the general meeting of the shareholders but not later than four months from the end of such financial year, unless otherwise