clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
approval for an offer for sale of newly issued bonds upon complying with the following rules: (1) being a company established under Thai law; (2) being able to demonstrate that an offer for sale of newly
the service provider by complying with the rules, conditions and procedures as prescribed by the SEC Office. In case the outsourced function under Paragraph 1 is investment management of mutual funds
or financial institution established under specific law; (10) the applicant is not in breach of any condition in complying with the terms and conditions. Clause 17 The applicant shall not have any of
in investment, investment background, and record of borrowing money for purchasing securities and borrowing securities for making a short sale; (c) readiness and understanding in complying with the
the SEC Office notify the result of the deliberation otherwise. (3) the appraisal company in capital market or the lead appraiser may obtain a renewal approval by complying with the following
Auditors in the Capital Market, upon the SEC Office’s request. Clause 231 In cases where any auditor is attached to more than one audit firms without complying with Clause 10(6) or is attached to an audit
are not worth the cost of complying with such requirements or conditions; (2) the applicant is subject to restrictions under other laws, either Thai or foreign laws, that do not allow the applicant to
, credit cards, EMV chip cards complying with the Visa and MasterCard standards, smart cards and general plastic cards. 3. Revenue from business forms and commercial documents Business forms and commercial