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Rules in Detail on Establishment of Information Technology System
Rules in Detail on Establishment of Information Technology Systems
the registration statement that contains the update statement (the latest version) (please specify) ______________________________________________ [ ] 2. Certification of Information Accuracy [ ] 3
of Information Accuracy [ ] 3. Evidence on the appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June
e-service Online Submission Bond Dealer and Underwriter >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 3/2548
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
e-service Online Submission Securities Dealer Business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission
Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units