inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
Laundering Act B.E. 2542 (1999) and the SEC Office’s issuance of the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures
shall be deemed to be the formation of a limited company or of a public limited company, as the case may be. The application for a license, application for an approval, the issuance of a license, and the
, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an
. (Mr. Vijit Supinit) Chairman Securities and Exchange Commission Remark : The rationale for the issuance of this Notification is that as the Securities and Exchange Act (No. 4) B.E. 2551 (2008