Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
information ,related to program using currently , which having a detail of development or alteration in the past. [M] · Revising up to date the document of operational system after the development or alteration
performing in the system development division from the division and personnel performing in the system administration division and shall provide a cross-check system among the personnel in such units. However
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
following requirements: (a) conduct internal audit and operation review, systematically; (b) correct deviation and follow up the result of correction, systematically. Chapter 2 Establishment of Policies
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 2 June 2016 Readers should be aware that only the original Thai text has legal force, and that
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better