Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the
Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive of Securities Companies _____________ By virtue of Section 16/6 and Section 103 (4) of
under this Notification, whether before or after approval, shall comply with the rules, conditions and procedures prescribed and notified by the SEC Office. 9 Clause 15 The underlying of the structured
application for renewal of approval as auditor in the capital market, the SEC Office shall proceed according to the procedures and the periods of time as prescribed in Clause 8 and Clause 9. During the filing
(PP) investors, including the procedures for verifying their qualifications and experience. However, the SEC found that certain information still required further clarification and more complete
and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 3. Notification of the Office of the Securities and Exchange Commission 12/2542 (Synopsis) 05/10/1999 4
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 Securities and Exchange Act B.E. 2535 (1992