Compliance) to the SEC through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person
Office through a system prepared on the website of the SEC Office within 7 business day as from the occurrence of such circumstance. However, KWI reported the discontinuation of such a person on 26
Bangkok, May 22, 2015 ? The SEC revised regulations on business operation concerning report of significant change in operating system, suitability test and client asset report.The Capital Market
Assistance (Addition) and Change of Company Director 28/10/2021 18:00 Interim omitted Dividend, Notification of Entering into a Connected Transaction Regarding the Receipt of Financial Assistance and Change of
of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7
related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] o Providing a procedure or compliance guideline for emergency change and
แบบแสดงราการข้อมูลประจำปี Notification of the change of the audit firm Date..... .........................…. Dear Secretary General of the Securities and Exchange Commission of Thailand I would like
mutual fund management companies3. Chapter 1 General Rules ___________________ Division 1 Mutual Fund Supervisors ___________________ Clause 8 A mutual fund management company may change a mutual fund
status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the