such other businesses in general in compliance with the current regulations; (2) If other businesses have a high investment value as specified by the rules, they would be classified into two
supporting documents via electronic system (OFAM) without the requirement for hardcopy submission to SEC; (5) Improving guidelines for supervising compliance of securities brokers and dealers of non
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties
application for an offer for sale of units of a REIT shall be approved by the SEC Office upon compliance with the following rules: (1) general characteristics of the REIT: (a) the trust instrument or the draft
oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
Ritthongpitak at 0-2695-9693. Forwarded for your information and compliance. Yours sincerely, -Signature- (Mr. Rapee Sucharitakul) Secretary-General Enclosures: 1. Daily Status Report Form 2. Manual for
ในการเป็นนายหน้าซื้อขายหลักทรัพย์ และการค้าหลักทรัพย์ ที่มิใช่ตราสารแห่งหนี้ 11/10/2543 4. หนังสือเวียน ที่ ธ.(ว) 10/2544 เรื่อง ขอความร่วมมือจัดส่งคู่มือการปฏิบัติงาน (Compliance manual) 06/02