> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit
. Form 61-1 (Application for Approval of Auditor) .pdf file | .doc file 2. Form 61-2 (Certification and Consent of Audit Firm) .pdf file | .doc file 3. Form 61-3 (Notification for Change of
Secondary Market/Securities Registrar Association related to Securities Business Fundraising Market Professionals Financial Reporting and Audit Oversight Mutual Fund Business Operators Registered
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
specified by the Civil Sanction Committee, such offender must sign a letter of consent. After the offender has made a payment of pecuniary sanction in full, the right to institute a criminal prosecution shall
principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management
principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management
โดยปัจจุบันมีสมาคมเกี่ยวเนื่องกับธุรกิจหลักทรัพย์ 3 แห่ง ได้แก่ สมาคมตลาดตราสารหนี้ไทย (Thai Bond Market Association) สมาคมบริษัทหลักทรัพย์ไทย (Association of Thai Securities Companies) สมาคมบริษัท
○ Merger ○ Notifications of the Association of investment Management Companies ○ Others • Private Fund Management ○ Execution of Agreements for Management and Management of Private Fund
○ Merger ○ Notifications of the Association of investment Management Companies ○ Others • Private Fund Management ○ Execution of Agreements for Management and Management of Private Fund