management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The
the securities company shall regard those conditions both or all sides of counterparties; (2)( repealed. (3) be according to conditions as prescribed in Clause 22. Clause 25 An intermediary shall trade
the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and
exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of giving
under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor