มิถุนายน 2558 เรื่อง (อ้างอิงจากเอกสารรับฟังความคิดเห็น และ guideline ฉบับที่ใช้ hearing) ความเห็นของผู้ประกอบธุรกิจ ความเห็นของสำนักงาน (อ้างอิงจากเอกสารรับฟังความคิดเห็น guideline และ FAQ ฉบับที่ใช้

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

Office has issued a Guideline for Operational Control and Security of the Information Technology of a Securities Company whereas this Guideline compose of mandatory[M] and accredit [A] and if the company

the practice guidelines as follows: Clause 1 In case where the intermediaries have provided all operation systems for supporting business continuity under this practice guideline, the SEC shall deem

guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under Paragraph 1, an intermediary shall sign

not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct

material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under the first paragraph, an intermediary

Guideline for Investment Management Business issued by the association with the approval of the SEC Office. In this regard, such financial statements shall be audited and given an opinion by an auditor who