for normal situations, business operators must receive the SEC’s prior approval. Hence, business operators requested more clarity as to which operational systems are required and a streamlined process
Audit Firm’s record - Normal
applicant personal information - foreign auditor (normal)
Checklist คุณสมบัติตามเกณฑ์ SPO normal track บริษัทไทย
the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This
Securities and Exchange Commission; (7) “derivatives clearing house” means any derivatives clearing house licensed by the Securities and Exchange Commission; (8)2 “closing time of normal trading session” means
Private Funds shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. 2 Chapter 2 Establishment and Management of Mutual Funds
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to