investment through a website or any other electronic media which may be securities analysis in a personal article accessible for the general public’s perusal or sharing of opinions on investment through a
release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2
. In the case where it is appropriate or necessary, the SEC Office upon approval of the SEC may revise or modify the operating plan; in such regard, the provision in the first paragraph shall be
. -Signature- (Thirachai Phuvanatnaranubala) Secretary-General Office of the Securities and Exchange Commission Note : The rationale for issuing this Notification (1) to revise the qualifications of the
_______________________________________________________________ Note : The rationale for issuing this Notification 1) to revise the rules on qualifications of applicant for approval of property fund manager whose approval is based on their holding of executive
of promissory note as the case may be as a supplement for the usage of credit rating assessed by credit rating agencies; (4) shall regularly revise the suitability of the credit rating selected
services. In case of change of material information, the intermediary shall review the agreement for providing services and revise the information thereof immediately. Clause 41/6 In communicating with and
application is received with correct and complete related documents and while the consideration for the renewal under the second paragraph is in process, the Office may order the registered person to revise its