applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in compliance with law establishing such
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
Notification is to modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple
management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make