of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

within the period specified in Paragraph 2 shall pay an additional fee at twenty percent of the fee paid incorrectly or incompletely. Clause 8 This Notification shall come into force as from the following

insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology

, including their associates; (3) list of jurisdictions or countries that do not or insufficiently apply the FATF Recommendations, including non-cooperative countries & territories (NCCTs). The information in

advertisement contains a statement that is partially copied or referred from another statement, article or speech made by any persons or past performance, such copied or referred statement shall be true and shall

any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or

insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall ensure that the information technology

” (partially or non - collateralized derivatives warrant) หมายความว่า ใบสำคัญแสดงสิทธิอนุพันธ์ ประเภทอื่นใดที่มิใช่ใบสำคัญแสดงสิทธิอนุพันธ์ที่มีทรัพย์สินเป็นประกันเต็มจำนวน (๖) “บริษัท” หมายความว่า บริษัทจำกัด

) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of