broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
acceptable to the Office. Clause 2. The derivatives broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk
when the SEC Office has received a complete set of evidentiary documentation for the application for approval of the qualifications of the applicant under (1) of Paragraph 2 of Clause 5, or the
Office” means a securities company’s branch office in Thailand that provides services through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and
the Office grants an approval as per the securities company’s request. Clause 7. The online branch office shall perform only the following duties: (1) arrange to have a computer set where customer can
disclose to SET, but no need to get approval from shareholders’ meeting. 9. Acquisition and disposition of assets Item size : The value of the consideration relative to the total asset value of the Company
approximately 29.75 million Baht. Therefore, it needs approval from the Board of Directors and disclose to SET, but no need to get approval from shareholders’ meeting. 9. Acquisition and disposition of assets
%20Fundamental%20Factors.pdf possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the
, which will serve as a mechanism to motivate the auditors and audit firms to provide better quality auditing service;(3) SEC to be empowered to set professional standards for audit firms and auditors in