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name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint
Reporting and Audit Oversight > Supporting Accounting Profession to be in line with International Standards Regulations SHARE : Detail Content Financial reporting and audit oversight 1. Supporting
SHARE : Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 By virtue
Business in the Category of Inter - dealer Brokerage B.E. 2545 By virtue of Section 7 and the fourth paragraph of Section 90 the Securities and Exchange Act B.E. 2535 which is an Act containing
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
) The Department of Business Development, Ministry of Commerce The Revenue Department, Ministry of Finance International Federation of Accountants International Forum of Independent Audit Regulators
Notification of the Ministry of Finance SHARE : Detail Content -Unofficial translation- The Notification of the Ministry of Finance Re: Classification of Inter-Dealer Brokerage as Securities Businesses
Business in the Category of Investment Advisory Service B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Inter - dealer Brokerage B.E. 2545 (Repealed
. 2535 • Prescription of Securities Related Businesses as Securities Business ○ Prescription of Venture Capital Management Business as Securities Business (VC) ○ Prescription of Inter