activity accepted by the Office A minimum of 3 hours per course or seminar A minimum of 1 hour of lecturing per subject Hours accumulation 1. Breaks will not be counted except breaks of 15 minutes or less 2
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
interest Total 1. Balance at the beginning 25x0 x x x x x x x (x) x x 2. Accumulation from write off x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between a period 4. Appraisal surplus x x 5
which is limited to debt securities shall pay the fixed-rated fee of 1,000,000 baht per year. Clause 14 A licensee undertaking the following businesses shall pay the fixed-rate fees as follows: (1
SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the capital market products
out on the website of the SEC Office. Clause 17 The foreign personnel under Clause 16 shall be fully qualified as follows: (1) being reliable and highly capable of providing information or advice on the
highly critical information systems, penetration testing shall be carried out at least once every three years and upon any material change to such systems; 2. for critical information systems apart from
in Paragraph 1(1) shall be the accumulation of all such persons. Clause 27 The management company may allot the units to the exempted persons exceeding the specified rate in Clause 26(1), but not
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...