firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
investor; (b) compliance with the investment policy and rules concerning investment as specified by the law; (c) prevention, correction or management of any risks arisen from investment. (3) back office
(UNOFFICIAL TRANSLATION) Codified up to No. 5 As of 3 July 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 2
ประกาศคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (UNOFFICIAL TRANSLATION) Codified up to No. 2 As of 2 June 2016 Readers should be aware that only the original Thai text has legal force, and that
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.