license or securities business licenses in the following categories and is regarded as a Non-Publicly Accountable Entities, according to the Federation of Accounting Professions’ financial reporting
Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours. Clause 7. The securities company shall publicly announce its opening hours and
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
and Exchange Commission, Thailand Re: Application to offer ASEAN CIS publicly in Thailand I/We _________________________________________________ as an operator of
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify
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...
prescribed under clause 5. Clause 13. The management company may provide services to customers outside the office hours which are prescribed by the Office only if the management company has publicly and
revoke the approval of such branch office. Clause 16. The securities company wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its
branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within