benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that
case may be; “updated prospectus” means the following prospectuses: (1) prospectus for an open-end mutual fund that shall be prepared during the period specified by the Notification of the Capital Market
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that has been
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that