resolution shall not have been passed more than one year. Public advertisement is prohibited. Promotion materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP
business relationship, investment, or administration and management of the issuer, for example, customers, suppliers of raw materials, potential business partners of the issuer, the affiliated companies of
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
รับและการคงไว้ซึ่งความสัมพันธ์กับลูกค้าและงานที่มีลักษณะเฉพาะ (Acceptance and Continuance of Client Relationships and Specific Engagements) การปฏิบัติงาน (Engagement Performance) ทรัพยากร (Resources
operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system and human resources promptly for operating
operational system, human resources and working capital promptly for operating securities business in the category of mutual fund management as specified in Clause 3 or Clause 4, as the case may be. Clause 12
operational system and human resources promptly for operating securities business in the category of mutual fund management as specified in Clause 3. Clause 11 The licensee to operate securities business in the
securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system, human resources and working