human resource will be prompt and adequate with a view to responsibility for investment advisory service. Where the applicant for securities business license in the category of investment advisory service
securities borrowing and lending business under Clause 1 means providing service, in normal course of business, to general public with a view to effectuating securities borrowing and lending, regardless of
; Clause 4 When the SEC receives of the application in accordance with Clause 3 and is of the view that the securities company filing such application has qualifications as specified in Clause 1 and Clause
; Clause 4 When the SEC receives of the application in accordance with Clause 3 and is of the view that the securities company filing such application has qualifications as specified in Clause 1 and Clause
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view to responsibility for mutual fund management. Clause 4 Any person holding more than ten
the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to responsibility for private fund management. Directors, managers and
expectations in terms of social responsibility and environment.In view of this, the board of directors, as the governance body, should ensure that the company has in place a mechanism to govern decision-making
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ โปรดรอสักครู่... Code/รหัส Topic/เรื่อง Date/วันที่ Time/เวลา View/ดูรายชื่อ AUD27092021 สัมมนา "Practical issues and challenges in TFRS
ratings of both the branches and the foreign banks. For issuances of short-term debt securities by the branches with sound financial condition and a minimum of specified capital requirement, however, rating