which the Office receives the complete application and supplementary documents according to public guide, the Securities and Exchange Commission shall complete its consideration for issuance of
or order must be kept until the complaint has been completely dealt with; If the giving of advice or placing of order under the first paragraph has been made via telephone or by electronics mean, a
securities company shall keep all related documents until the handling of such complaint was completed. In case where an advice or a negotiation is made by mean of telephone or via electronics, the securities
together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the
evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial services that facilitate problem solving or develop services in the Thai capital market or
guidelines for management of companies in the financial conglomerate including the securities company which submits a request for an exemption such as policy manual, procedure manual and compliance manual; (3
, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering
แสดงถึงแนวทางการบริหารบริษัทในกลุ่มธุรกิจทางการเงินซึ่งรวมถึง บริษัทหลักทรัพย์ที่ขอผ่อนผัน เช่น คู่มือนโยบายบริหาร (policy manual) คู่มือการปฏิบัติงาน (procedure manual) คู่มือการกำกับดูแลการปฏิบัติงาน