supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
approval under Chapter 2 and Chapter 3 shall submit to the Office documentary evidence and reports on sale results in accordance with guidelines provided in the Office’s electronic system. Chapter 5
persons. Clause 16 The provisions under Clause 15(1) and (2), as the case may be, shall not apply to the foreign entity applying for approval who has rectified the cause, work system, management structure
. Notification of the Capital Market Supervisory Board Tor Jor. 12/2559 Re: Application and Approval for Offer for Sale of Structured Notes ____________________ By virtue of Section 16/6 of the Securities and
. 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
strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business
strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business
).Moreover, SEC is considering allowing asset management companies to organize meetings via electronic platforms, provided that there is a proper control system to ensure IT security for online meetings
become effective since 15 December 2022. Pursuant to ISQM 1 and ISQM 2, audit firms are required to have a quality management system which gives more oversight responsibilities to executive auditors, while