securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
) international financial institutions; (8) government agencies and state enterprise under the law on budgetary procedure; (9) the Financial Institutions Development Fund; (10) the Government Pension Fund; (11
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
extraordinary item. If it results in loss, such amount shall be put in the parenthesis. 4. Income tax expenses means corporate income tax calculating in accordance with the accounting procedure or the provision
Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the
, Chapter 4, Chapter 5, or Chapter 7, of Title 12 of the Criminal Code, the SEC Office shall be deemed as the injured party under the Criminal Procedure Code. In the event under the first paragraph, the
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for