has been approved or registered to perform duties similar to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval
/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the “Contacts
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
(IMA) Control Environment 1. The organization demonstrates a commitment to integrity and ethical values. Questions Yes No 1.1 The board of directors and the management set up principles and guidelines
. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application