business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
company shall notify the Office within fourteen days from the date of the change of such information. In the case where the Office considers that such change of information results in non-compliance with
. In the case where the SEC Office considers that an applicant has properly and fully met the requirements under Clause 3, it shall submit the matter to the Securities and Exchange Commission for
by the SEC Office on the SEC Office’s website. Clause 7 1 In the case where the SEC Office considers that the applicant has the correct and complete qualifications as specified under Clause 4 and
paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules
issuance of such certificate; · The certification that the Thai domiciled fund is an MRF-eligible master fund is accurate as of the date on which the SEC considers the information of such mutual fund. The
firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional
Office considers the qualifications for the registration of qualified fund supervisor; (2) During the course of three years preceding the year when the application is filed up until the date of
together with supplementary documents as specified in the electronic work system of the Office. Clause 11 3 Repealed. Clause 123 In the case where the Office considers that the applicant has properly and
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of