Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the client or the ultimate beneficiary to identify oneself to the official of
actions: (a) gather and recheck information in addition to the normal course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the
2003. (Translation) -3- Clause 2.3 In providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
transformation, adaptation to rapidly evolving technology, strategies for getting ready for the future, as well as challenges and obstacles faced by digital leaders. The event took place at EMSPHERE Shopping