· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the
necessary. In case where the period of time as specified in the second paragraph expires but the Office has not yet notified or made any orders to securities company. It shall be deemed that the Office grants
thirty –days period. The Office may extend the consideration process as necessary. In case where the period of time as specified in the second paragraph expires but the Office has not yet notified or make
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby
. In this regards, guidelines for reviewing the mission, strategy, policy and operational plan in appropriate period or under circumstances shall be established. The determination of such mission
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities