Proceeds: the issuer must demonstrate the tracking of the managed proceeds for the designated project and credit the proceeds into a sub-account, in clear separation from the issuer’s other accounts; 2.4
|- Approval |- Business Operations Rules |- Reporting |- Fees |- Circular Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of
Securities Companies Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays
Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
|- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees |- Related Circular Letter Others (Securities Business) |- Separation of Securities and
) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective
10.97 million or 9.53% from the corresponding period of the previous year, mostly from Interest income (financing composition separation from revenue from sales) decreased Baht 22.47 million and profit
separately from revenue from sales (financing component separation) at the amount of Baht 22.47 million and then gradually recognized as revenue for each period until maturity date. 3. Selling and
system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and
Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of