daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
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
(if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the
เอกสารรับฟังความคิดเห็น เอกสารรับฟังความคิดเห็น เรื่อง การแก้ไขประกาศเพื่อให้บริษัทหลักทรัพย์ต้องทำ suitability test สำหรับการจัดจำหน่ายหลักทรัพย์ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์
brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction
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
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
enterprise information technology and operating systems for information security; (2) supervision, monitoring and examinaion of compliance with the policies, measures and the operating systems under (1); (3
control the staff under their supervision to comply with the policy and guideline; (3) Prescribe the guideline for course of actions where there is a breach of the guideline. The course of action should be