post issuance reviews of selected engagements as part of its monitoring procedures? If yes, please provide us engagements review program and the scope of the review. B Evaluating, Communicating, and

areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure

. The Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1 . This Notification shall come into force as from 16 May 2006. Clause 2. In this Notification

office service from service provider as prescribed in Clause 3 shall submit an application to the Office along with documents and details as follows: (1) Scope of back office service from service provider

: Clause 1 This Notification shall come into force as from 1 September 2017. Clause 2 In this Notification: “ Notification of Standard Conduct ” means the Notification of the Capital Market Supervisory Board

Notification together with two photocopies thereof to the Office. Clause 3. This Notification shall come into force from 1 November 2004. Notified this 19th Day of October 2004. Thirachai Phuvanatnaranubala (Mr

office shall operate within the scope that has been permitted and it does not need to provide every service as per its granted scope. Nevertheless, if the management company intends to expand the scope of

will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of

application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.