seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
thoroughly considered to maintain a balance in terms of investor protection and competitive edge in the international arena. The SEC remains vigilant in fulfilling its roles and responsibilities, ensuring that
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred
institution, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
following factors affecting performance: 1. Bangchak refinery’s average production rate decreased 7% YoY, as there was a maintenance of Hydrocracking Unit to replace its catalyst as to maintain efficiency to
sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such
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 legal entity or law controlling business