paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who
Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1
Bangkok, March 3, 2015 ? The SEC organized ?1st SEC Working Papers Forum, 2015? where the Faculty of Commerce and Accountancy, Chulalongkorn University presented research papers on ?Impacts of
Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University