exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are
with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall exclude persons who are allocated as a result of their position as director
. The name list of the largest allocated persons under the first paragraph shall exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare
inspection by the Office that the licensee has proceeded to meet with the qualifications prescribed under the said notifications except for a case where there is difference in procedures which does not result
does not result in any material change of the qualifications stated in the application. Clause 26 Any licensee of derivatives business in the category of derivatives brokerage which is a company newly
securities company. The Office shall notify the result of the consideration of the application within thirty days as from the date of receipt of application and completed documents evidence, in granting
shall not include persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups
the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall not include persons who are allocated as a result of their
) ความสำคัญระดับต่ำ ( รายละเอียดตามข้อ 5 การสรุปผลการตรวจสอบ ) 6 Result สรุปผลการตรวจสอบในภาพรวม (ไม่ต้องกรอกข้อมูล) Excel จะประมวลผลการตรวจสอบในภาพรวมอัตโนมัติ โดยเชื่อมโยงข้อมูล ผลการตรวจสอบใน Sheet D1