alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance
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
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
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the
. There should be a system to control the dividend payment procedure to be reliable where the prospectus has specified that the payment may be made under different method. 3.3.5 The calculation and
. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) , and Paragraph 1(6) under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
purpose of the provision in the first paragraph, a beneficial owner of shares includes any beneficial owner of shares prescribed under the fourth paragraph of Section 25; (12) “Ministerial Regulation
clause (6) of Paragraph 1 under Clause 16 of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) , as amended by the Ministerial Regulation concerning Granting