establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

obtain Investment Advisor or Derivatives Advisor licenses. However, those eligible to provide advice to retail investors must be screened by local securities firms as being competent and reliable foreign

Limited Companies Act B.E.2535 (1992) to call an extraordinary general meeting in order to elect new directors. The SEC and other competent authorities  have issued guidelines to set out the procedures

) ordering him to testify and deliver documents and other evidence to the competent officer by September 13, 2004. Consequently, Mr. Anchanbutr did appear for the testimony. The competent officer requested

business service as a channel for money laundering and terrorist financing such as requiring securities business operator (securities firms and asset management companies) to learn of client?s identity, a so

calculating risks and returns so the users will learn how to allocate the investment to suit their needs.  ?Fund Supermart? provides  investors with accesses to mutual funds offered by many asset management

seek approval for such offering. Accordingly, shareholders can learn and aware of  the related persons? movement and their voting. Meanwhile, the allotment of debentures, B/E and DW to the related

obtaining upon retirement, both financial and lifestyle management must be appropriately adjusted. The visitors will learn of knowledge on financial planning and management of pensions, financial products for

learn of more details, please visit the SEC website ? www.sec.or.th.?

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties