shall comply with the following conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and
against securities and exchange law. This seminar is the starting point to help lawyers to be preparedness and extend their ability to advocate or advise investors on legal requirements and procedures
limited company or a listed company; (2) the required amount of a registered capital; (3) well-preparedness in work systems, financial status, control and good work practices; (4) no financial troubles
potential and preparedness; (4) Enhancing Competitiveness and Creating Opportunities from International Connectivity: To enable regulatory framework by conducting a regulatory guillotine
) assessment of preparedness to manage the real estate investment before accepting to be the REIT manager or before more investing in new real estate for the REIT, as the case may be; (b) analysis of the
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. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
risk in the future given the different levels of technological readiness among peers, and between banks and other businesses, as well as sudden shifts in circumstance such as a change in transaction
risky and complex. Inevitably, however, everyone needs to make investment to obtain higher returns, at least to beat inflation. The SEC has put effort to educate investing public in a variety of