firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
gold derivatives brokerage business upon meeting the following requirements: (1) Having paid-up registered capital of no less than one hundred million (100,000,000) baht; (2) There being no event which
UNOFFICIAL TRANSLATION Codified up to No. 2 As of 5 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
-ร่าง- UNOFFICIAL Translation Codified up to No. 4 As of 15 February 2013 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
UNOFFICIAL TRANSLATION Codified up to No. 6 As of 24 April 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 4
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
Office considers the qualifications for the registration of qualified fund supervisor; (2) During the course of three years preceding the year when the application is filed up until the date of
.... (Unofficial Translation) Codified up to No. 5 As of 31 October 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for