The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
derivatives business operators is determined by the types of license packages, each permitting a scope of various business undertakings. For example, Type A Securities Business License requires the minimum paid
approved the principles for amending the definitions of institutional investors to appropriately encompass capital market business operators and personnel, while also broadening the investment capital
statement applicable to the offering of units; “infrastructure business” means the infrastructure business specified in the Notification of the Capital Market Supervisory Board concerning the Rules
147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section 90) |- Representatives Office of foreign securities companies (section 93) |- Holidays
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made