end of such 30 days. Clause 10 In case an intermediary wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC
Manual for the Public. Clause 10 In case an intermediary wishes to expand the scope of online branch office’s existing services, the intermediary shall notify the details of the expansion to the SEC Office
shareholders, through abusive related party transactions have called into question the independence and diligence of boards in the region, where controlling shareholders appoint most, if not all, board members
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
| - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees |- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees
Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of Securities Companies | - |- Outsourcing Services | - |- Appoint service provider OR marketing
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
SEC Board passed a resolution to appoint three persons to the Board of Governors of the Stock Exchange of Thailand (SET). The newly appointed governors are: (1) Mr. Komkrit Kietduriyakul(2) Mr. Pichai