consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system
able to complete the engagement within the reporting deadline. 4 Does the firm inform personnel of its acceptance and continuance of client policies and procedures? If yes, mode of communication. If no
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
result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents except for the case that the system for inspection and
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
consideration of issuing a license within sixty days from the date on which the SEC Office receives the application and supplementary documents in full. The Securities and Exchange Commission shall complete its
· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
maintain such evidence complete and up-to-date for at least five years from the transaction date and the maintenance of such evidence during the first two years shall be in such a manner that can be promptly
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records