Annual Report 2001 A N N U A L R E P O R T 2 0 0 1 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2001 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
company’s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the financial statements. Such information included cash account, purchases and
(SFO) for offering units of a Thai Covered Fund to the public in Hong Kong, as well as other requirements which a Thai Covered Management Company and a Thai Covered Fund must observe after obtaining SFC
including brokerage, dealing or underwriting of securities limited to debt securities or investment units. Clause 2. A securities company shall undertake trust business upon obtaining a license to undertake
business upon obtaining a license to undertake trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s
___________________________________ By virtue of Clause 3(4) of the Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining an Approval and Granting to Perform Trust Business
investors an understanding of the Company's nature of business during the preceding year including the factors conducive to business opportunities or constraints – for example, obtaining a business license