, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
and Exchange Act (No. 4) B.E. 2008 stipulates that the prescription of the rules and determination of periods for submission of reports or demonstration of document of securities companies shall be the
personnel training program. 7. Promoting the significance of employee’s honesty 8. Prescription of policy and procedures for human resource management such as the employment and the recruitment of
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using
the Ministry of Finance concerning Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder , mutatis mutandis . In this regard, in case such person is
Ministry of Finance concerning Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder , mutatis mutandis . In this regard, in case such person is a
management company’s staff; (2) Supervision and inspection management company’s staffs comply with standard under (1) and; (3) Prescription of disciplinary to punish staffs who violate or fail to perform to
prescription if it is not brought to the court or forwarded to the committee for settlement under Section 42 within one year from the date on which the registrar or the competent official found the commission of