and rules issued under such laws, including the performance standards as specified in the notification of the Office or by the association with the approval of the Office; and (4) Refrain from violating
), (2) and (8). Clause 6. Those licensed to operate business specified in this Notification shall pay such fees within the time as specified by the Office with the approval of the Securities and Exchange
having obtained an approval or deemed to be obtained approval from the Office to use back office service from service provider prior to the effective date of this notification, shall continue to engage
Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that
. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 43/2544 Re: Rules, Conditions and Procedures for the Approval of
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is
governing approval for auditor” means the Notification of the Office of the Securities and Exchange Commission governing approval for auditor issued under the Securities and Exchange Act B.E. 2535 (1992
Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the
various securities businesses which shall be subject to only one notification specifying rules of approval for investor contacts and standards of conduct. By virtue of: (1) Clause 10 of the Notification of
in the operation may cause a material impact or damage to investors or the overall capital market. Clause 8 The approval for participation in a regulatory sandbox under this Notification shall lapse in