granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. The law on financial institution business
Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
[such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries
reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification