instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
The Cabinet has passed the resolution approving in principle the draft Ministerial Regulation concerning Granting of Approval for Undertaking Securities Business, which prescribes two additional
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
issues relating to the audit regulation, the audit quality control, and the audit of financial statements of global standards, e.g., data analytics in audit and the use of audit indicators to analyze the
the Provident Fund B.E. 2530 (as amended by the Ministerial Regulation No.7, No. 9, N0.10) 3 The identity Card of Registrar and Competent Officer B.E. 2532 SHARE : For More Information
a duty required to be performed. charge is dropped because of the regulation is amended The law has been amended in a way that favors dropping the charge. SEC Act S.300 in conjunction with 33 Criminal
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market