Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
assets, accounting policy on expenditure forecasting of place renovation after using finish property, plant and equipment and in case of using value assessment as revaluation, it shall identify rules of
ของสมาคมและ SRO) โดยคำนึงถึงความเสี่ยงที่พนักงานอาจมีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์ ในกรณีที่มีความเสี่ยงสูง ผู้ประกอบธุรกิจต้องมีมาตรการเพิ่มเติม (enhance) ที่จะทำให้ติดตามตรวจสอบได้ว่าพนักงานมีการ