has been activated. In the case where a licensee has obtained more than one license, the licensee shall pay the total fees of all activated licenses collectively at the same time. Clause 4 The licensees
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
หลักทรัพย์จดทะเบียนโดยอัตโนมัติ ( Automatic List) และมีหลักทรัพย์อ้างอิง ( Underlying Asset ) เป็นหุ้นสามัญ หุ้นบุริมสิทธิ ใบสำคัญแสดงสิทธิ หรือใบสำคัญแสดงสิทธิในการซื้อหุ้นเพิ่มทุนที่โอนสิทธิได้ที่จด
ทะเบียนโดยอัตโนมัติ ( Automatic List) และมีหลักทรัพย์อ้างอิง ( Underlying Asset ) เป็นหุ้นสามัญ หุ้นบุริมสิทธิ ใบสำคัญแสดงสิทธิ หรือใบสำคัญแสดงสิทธิในการซื้อหุ้นเพิ่มทุนที่โอนสิทธิได้ที่จดทะเบียนในตลาดหลัก
the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and