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appraisal, including operational system to ensure that it would be able to comply with standards and ethics regarding appraisal profession for widely used appraisal; Having experience in appraisal services
operational system, human resources and working capital promptly for operating securities business in the category of mutual fund management as specified in Clause 3 or Clause 4, as the case may be. Clause 12
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
domestic authorities to exchange information and discuss development and monitor systemic risks of Thailand's financial system. Such cooperation is conducted under three Regulators Working Groups, comprising
of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records
show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control