and methods specified in the Licensing Manual for the Public and notify the issues derived from the examination of such facts for the applicant to clarify within the period specified by the SEC Office
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
ลักลอบเขามาใชระบบ (unauthorized usage) และการสรางรายการปลอม (Fabrication) เชน การสรางรายการซื้อขายหลักทรัพย - 6 - ปลอมโดยแอบอางวาเปนคํ าสั่งซื้อขายของลูกคา ซึ่งมีผลกระทบตอความมีตัวตนที่แทจริง
health examination to comprehensive diagnosis and preventive care. Moreover, the hospital opened the advanced pediatric center that provides child care services from birth to teenage by a specialized
Office shall have the power to prescribe rules, conditions and procedures in detail related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the
related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any