added by the Notification of the Office of Securities and Exchange Commission No. SorThor. 20/2547 Re: Report Forms of Securities Companies (No. 2) dated 25 May 2004. 2 As added by the Notification of the
operation: Securities companies, excluding such securities companies licensed to undertake securities business in the category of securities finance, shall prepare and file this report 1 As added by the
and Tables attached hereto. In addition, the following terms shall be defined as below: 11 Amended by the Notification of the Capital Market Supervisory Board No. Tor Jor. 22/2560 Re: Submission of the
” means the Office of the Securities and Exchange Commission. 1 This is added by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (No.2) dated 09/03
Commission hereby issues the following regulations: Clause 1. Part 3, Page 1 to Page 3 of the Form BorLor. 4/1 attached with the Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re
hereby issues the following regulations: Clause 1. Part 3, Page 1 to Page 3 of the Form BorLor. 4/1 attached with the Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re
business, a license certificate shall be issued as evidence and shall be in the form attached herewith. Clause 6 In deliberating an application under Clause 5, the SEC Office, in addition to reviewing the
of the mutual fund, which properly reflect the mutual fund’s risk level, according to the guidelines attached to this Notification; (3) classification of investment units, at least including the
Office of the SEC regarding Approval of Auditors, from....(date)……. until ....(date)……, I hereby wish to inform the change of the audit firm to which I am attached, from …….…(name of the former audit firm