brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
ระบบทะเบียนกรรมการและผู้บริหารของบริษัทจดทะเบียน PAGE - 2 - ฉบับที่ 5/2550 วันจันทร์ที่ 22 มกราคม 2550 ก.ล.ต. ขยายเวลาการนำส่งงบการเงินและผล special audit ให้ ABICO สืบเนื่องจาก ก.ล.ต. ได้สั่งให้
firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a) Commercially Available? (b) Produced by an international firm of which the firm is a member? (c
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator
shall ensure that the identification document bears the customer’s photo. Clause 10. In conducting the KYC/CDD process under Clause 8, the securities company shall classify, and apply the scope and
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a