writing to the Court within the time period prescribed by the Court. The application of Class Action to the offence or liability under the Securities and Exchange Act The characteristics, examples and the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
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