advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements
requirements by the intermediaries, the SEC Office, by virtue of Clause 5(3) in conjunction with the first paragraph of Clause 12 (11) and (12) and Clause 14 of the Notification No. Tor Thor. 35/2556 , hereby
Provisions _____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement
innovative development, products and/or services or the business model (if any). The objective is to demonstrate the Company’s continuing development to serve the needs of the stakeholders and to make
purchasing demands when the securities price is lower than the offering price, and if the securities price is higher than the offering price, the amount of securities eligible for trading may increase.” Remark
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to auditors and additional requirements as specified in the notification
the audit firm’s or has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors , and I am willing to
from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply