estimates; Taking actions to ensure that neither the executives of securities issuers nor any FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the
filed with the SEC via the SEC office in form and together with supplementary documents specified in the SEC’s Notification as published in the Government Gazette. Clause 3 The SEC shall recommend
with the Minister for his approval under the SEC’s recommendation. Such application shall be filed with the SEC via the SEC office in form and together with supplementary documents specified in the SEC’s
establishment of mutual fund (1) Applying for normal approval The mutual fund management company shall submit an application for approval of the establishment of a mutual fund together with all required
Operating Income for Annual Transaction Levy Calculation (Form 14-2) (Notification No. SorThor/Nor/Yor. 59/2546) To be filed by January 31 of the following year, together with the 1st installment of the
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit
company for operating securities business in the category of venture capital management with the SEC Office within the period of time, in form and together with supplementary documents as specified by the