information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and accountability. The program must be approved by the board of directors. The SEC approves
Content Management of Mutual Fund 5. Prescription of additional rules The SEC is empowered to prescribe additional provisions, conditions, and procedures to protect the investors or to ensure the clarity
Content Management of Mutual Fund 5. Prescription of additional rules The SEC is empowered to prescribe additional provisions, conditions, and procedures to protect the investors or to ensure the clarity
operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so doing, the association must acquire a license and register with the SEC. The SEC
comply with the rules, standards or work ethics specified for the regulated person. The SEC or other regulators may impose the following orders: rectification of non-compliance operation, restriction of
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of
Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor. 51/2561 Re: Outsourcing Function related to Business Operation to