stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
) shall be on the same page as the information under (3) and the font size of the information under (5) and the statement under (7) shall be clear and not smaller than that of most other texts in the
under (7) shall be on the same page as the information under (3) and the font size of the information under (5) and the statement under (7) shall be clear and not smaller than that of most texts in the
in general. Clause 11/2. The investment advisory company shall submit a report or present the document relating to the mutual fund rating within the period or periodically as prescribed by the Office
ratio, the markets or the groups of export markets for such products or services; (b) Describe the industry competition, an approximate number of competitors, the Company's size compared to that of the
competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s