securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
which are at least operating, compliance and information management system, including sufficient personnel. It shall be deemed to obtain an approval from the SEC Office for establishing an oversea
the office; (2) efficient management system which are at least operating, compliance and information management system, including sufficient personnel. It shall be deemed to obtain an approval from the
operation of the office; (2) efficient management system which are at least operating, compliance and information management system, including sufficient personnel. It shall be deemed to obtain an approval
. Details of the applicant (pursuant to Clause 7 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting of Approval