where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new independent director within 90 days

is not ordered by the Office to rectify serious fault in its operating system or to refrain from establishing any new branch office; (7) the management company shall demonstrate that the following

practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

. Guidelines 1. In the case where the mutual fund has changed the management company/the mutual fund supervisor, the management company should coordinate and prepare to deliver the information to the new

Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

subsidiaries under the new structure, the Company shall prepare the consolidated financial statements as if the Company has operated under the new structure in the manner of providing useful information to

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean

Federation of Accounting Professions or justifiable in case of any difference therefrom). The applicant shall provide details of the company for which the applicant has affixed signature in giving opinions on