regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the division and personnel
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
Concerning the Acquisition or Disposition of Assets B.E. 2547 (2004), dated October 29, 2004 (as amended) (the “Notifications on Acquisition or Disposition of Assets”). Upon calculation of the value of such
Disposal of Assets B.E. 2547 (2004) (collectively, the “Notifications on Acquisition or Disposal”), having the highest transaction value of 293 percent of net profit from the Company’s operation for the last
Acquisition or Disposal of Assets B.E. 2547 (2004) (collectively, the “Notifications on Acquisition or Disposal”), having the highest transaction value of 293 percent of net profit from the Company’s operation
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the