securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
Office. Such permission shall only be granted on the ground that the branch office is not in a state to provide services by itself or such delegation will ensure more efficient service providing. Clause 8
cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or a commissioner is vacated prior to expiration of the term of office
securities sold is less than the minimum amount specified by the issuer, the reasons for the cancellation of the offer for sale, and the securities subscription, etc.) - State the warning statement for
to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
where the application for establishment and management of the mutual fund has not been approved by the Office, the company shall state in the advertisement that the mutual fund is under the Office’s
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The