register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of
Company and the subsidiary operating the core business according to the details in Attachment 1 as well. 10.3 Company secretary and the person assigned with direct responsibility for accounting supervision
2007 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or
regulatory action (paragraph number......) ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph number........) ( 5.4 Amendment of
audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million
Company’s directors or executives; (2) defects of the Company’s internal control (if any), completion of amendment or incompletion and relevant clarification. 11.2 Describe the opinions of the Audit Committee
the fund project contains anything contradicting to any of the rules prescribed in the said law, notifications, regulations or orders, the management company shall make an amendment to the said