Business undertaking by adding License Type E for securities business intermediary for equity instruments and Private Fund License. This will facilitate license application in line with business operators
SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...
management. Meanwhile, the Company emphasized on agent’s commission in the kiosks installation in 2017. Profit 1) Gross profit was Bt176.09mn, decreasing when compare to Bt183.69mn in 3Q17, from kiosks
from 9:00 a.m. to 4:00 p.m., however, the Tender Offer Agent will accept and transfer the shares of the Offeree to the Tender Offer Agent’s account as from 7 May 2019 to 17 May 2019, during the office
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients
clients’ assets as well as a requirement of the agent’s compliance with this Notification. The securities company shall inform its client of the appointment of an agent to undertake custody of clients
-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company