Success) และเมื่อเรียกดูสถานะของเอกสารที่ปุ่ม “ Click ที่นี่เพื่อดูประวัติการส่งข้อมูล ” ระบบจะแสดงผลเป็นรายการที่ส่งเป็น Not confirm จนกว่าจะถึง 6.00 น. ของวันรุ่งขึ้น เมื่อระบบ จึงจะเปลี่ยนเป็น Confirmed
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board
specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
securities company to manage the private fund, and shall manage the private fund in accordance with the rules, conditions and procedures as specified in the notification of the SEC. In this regard, the SEC
Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on
), since ………………(date)………….………, to ……….…(name of the current audit firm), since………..………(date)……….…………. In this regard, I have attached herewith the following supplementary documents: 1. Certification of
its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
one fourth of directors to be independent director. In this regard, the independent director shall have qualification and shall not possess prohibited characteristics as specified by the Notification of