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
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
: Rules, Conditions and Procedures 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
derivatives exchange shall pay the SEC Office Baht 2,000,000 annual fee for business undertaking within 31 January of every year except the first year of license, the licensee shall pay fee on effective date of
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
within 30 December 2018; (2) a company which is newly established to apply for the agricultural derivatives business license, except the companies under (1). 1 As amended by the Notification of the
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch Office” means a securities company’s branch office in Thailand that provides services