managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining

) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s

for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data

that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation

projects that were in the process of delivering and inspecting. Therefore, those projects require funding from loans of financial institutions. Trade accounts payable and other Payables increased by 614.3 MB

examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit

Auditors dated April 9, 2015. 12.3 The SEC Office begins the period of time for examining facts and considering the application for approval from the date on which the SEC official has received the required

.This is because the nine-month period of the year 2019, there were an investment in many large-scale projects that those were in the process of delivering and inspecting. Therefore, those investments

inspecting by the SEC Office; (4) it shall be accommodated to the SEC Office for inspecting the operation of the service provider upon request. Clause 19/1 5 Clause 18(7) and 19 shall not apply to the