records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the

ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained

review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records

Bangkok, February 24, 2015 ? The SEC announced the success of ?Pride of the Provinces? Project in the past three years joined by 289 companies from 42 provinces. Recently, 15 participants obtained

be given based on clear and accurate information. With uncertainty, investment analysts? view must cover both best and worst case scenarios, to prevent investors? unreasonable expectation. For listed

business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters.   1.3  Having obtained a clear resolution on approval for the capital

Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be

concerning Rules on Personnel in the Capital Market Business. Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be director or

director with power of management to the position of director without power of management, it shall be deemed that the securities company has already obtained the approval from the SEC Office. In this regard

a third party under this Notification shall be deemed to have obtained an approval from the SEC Office. Clause 3 In the case where an intermediary intends to outsource the function which is investment