Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved auditor. In this regard, the Company may choose to disclose the above information by referring to the
Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
) Guidelines for monitoring and evaluating the implementation of the anti-corruption policy; (5) Review of adequacy and completeness of the anti-corruption process by the audit committee or the SEC-approved
operate business efficiently, responsibly and in compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness and sufficiency as
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness and sufficiency as stipulated under the first paragraph, it shall be taken
Commission concerning Maintenance of Capital Adequacy of Mutual Fund Management Company and the Notification of the Capital Market Supervisory Board concerning Indemnity Insurance of Mutual Fund Management