Market Advisory Board No. Tor Thor. 59/2552 Re. Rules and Periods for Report Submission of Securities Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by
scope and description of delegated responsibilities of each position (job description). *** The number of experience years may be indicated in periods of time. **** For example, the Audit Firm has 3
in (1)(b), the estimated return mentioned in (3) shall not be presented for longer than three accounting periods. If such property fund invests in lease hold right, it shall clearly specifies that the
specified property fund referred to in (1)(b), the estimated return mentioned in (3) shall not be presented for more than three accounting periods. If such property fund invests in leasehold right, it shall
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
characteristics under the Notification of the Ministry of Finance shall be prohibited to be major shareholder within the following periods: The prohibited characteristics Level of seriousness of behavior Maximum
system following the Office of the Securities and Exchange Commission’s rule on the electronic data interchange. Clause 6 This Notification shall apply to financial statements with accounting periods
following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval