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
and standards of conduct. Please be informed and act accordingly. Dissemination of the content hereof to all concerned parties would be highly appreciated. Should you have any query please contact 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 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
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity
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
decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being
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...
the efficiency of corporate governance and that the Company’s corporate governance standard increased in accordance with the CG Code 2017 for listed companies; 6.3.2 In case of not yet implementing the