first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
; (2) establish a cross-check for operation of information security to prevent potential risks; (3) establish communication channels with the SEC Office, the regulatory authority for information
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
management plan, the management company has personnel designated as an investor contact person and has a system that allows communication between the investor and the investor contact person when the investor
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
dated 6 February 2008 shall be repealed. Clause 2. In this Notification: (1) “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s