Approval for Undertaking of Derivatives Business (No. 2)
Approval for Undertaking of Derivatives Business (No. 3)
The Approval of Personnel in the Capital Market Business
Re: Rules, Conditions and Procedures for Approval of Securitization Projects
under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a person who is personnel in the capital market business and holds the
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
draft regulations to be more suitable. On 4 November 2021, the SEC Board Meeting No. 17/2564 passed a resolution approving amendment to the regulations. The SEC has later issued a notification of the
prohibited characteristics; (3) in case of prohibited characteristics in Group 3 under Clause 31, the SEC Office may either suspend or revoke the approval as deemed suitable for such case. Clause 34 In case a
Exchange Commission No. KorNor. 69/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and