Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a

the material facts of any data stated in this form or the form of curriculum vitae certification (form 104-2/Or Por 24-2) have been changed, the company shall inform the Office within seven days from

recommendation of the Minister of Finance, the Permanent Secretary of the Ministry of Finance, the Permanent Secretary of the Ministry of Commerce and the Governor of the Bank of Thailand and at least four but not

person to access to the record. [M] Change Management. Objective . Change Management have an objective for rendering the developed or altered computer system having the correct and complete integrity which

Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...

derivatives broker is for client's benefit. In the case where the derivatives broker deposits or invests in assets under Paragraph 1(1) or (4) but later the credit rating is changed, if the derivatives broker

report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars

without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be

procurement. (In case of financial institution, specify the sources of capital and loans); (4) Assets used in business undertaking Describe the key characteristics of the core permanent assets and core

or invests in assets under Paragraph 1(1) (a) 1. or 4. but later the credit rating is changed, if the company is unable to comply with terms specified in clause 18/2, the company shall proceed and