No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to undertake in a different manner from
format and procedure provided in the electronic work system of the Office. Clause 2. The license for undertaking securities business pursuant to the Ministerial Regulation Concerning Granting of https
format and procedure provided in the electronic work system of the Office. Clause 2. The license for undertaking securities business pursuant to the Ministerial Regulation Concerning Granting of https
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
Arbitral Procedure Organized by the SEC Office (No. 2)