timing such as: 1. Issue monthly report to show the flow and the balance of assets in each month; 2. Issue daily report in the case of client’s order to transfer money or assets to other person or in the
cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
enter into the arbitral process organized by the Office. Chapter I V Appointment and Challenge of Arbitrator ________________________ Clause 14. In the arbitral proceeding, there shall be one arbitrator
Management of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards