approval for each advertisement. In applying for approval under the first paragraph, if the securities company has submitted the content of the advertisement for the Office’s consideration and the Office
content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management
latest year before filing the application for registration as a foreign auditor in the capital market Currency Unit ________ No. Company Name Type of business Fiscal Year Ended Total Assets Total Revenue
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person
Category of business applied for registration □ to be a derivatives advisor 1.1 Category of juristic person of the applicant, □ a commercial bank under the law on commercial bank (CB.); □ a finance company
regulations: Clause 1 In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person” shall mutatis mutandis have the same meaning as defined
management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that differs from such
) targeted participants; (4) the course content in brief; (5) period for training and accumulated hours; (6) brief profile of lecturer; and (7) procedure for verifying attendance. 5. Evidence on activity