Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) (Synopsis) 03/08/2009 01/09/2009 5. Notification of Capital Market Supervisory Board TorThor
Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Registration and Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act
Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
(Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed
/ Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered
/Personel/Qualification%20of%20Derivatives%20Investment%20Analyst%... Qualifications%20of%20Securities%20Investment%20Analyst%20on%20Fundamental%20Factors%20.pdf possession of prohibited characteristics
applicant must have the same https://www.sec.or.th/EN/Documents/Personel/Qualification%20of%20Derivatives%20Investment%20Analyst%... Qualifications%20of%20Securities%20Investment%20Analyst%20on%20Fundamental
for recruiting more auditors to meet the minimum requirement and give the unqualified auditors* a sufficient time to rectify their qualifications. The SEC took the suggestions into account to revise