of time exceeding two years on the date of submission of the application, such applicant (Translation) - 3 - shall complete such knowledge training courses administered by an association or a training
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund
come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
institution: O yes O no 6.15 Pending under the period prescribed by an order of the Office to be suspended, revoked or prohibited to perform the duties of personnel in securities business or derivatives
suspended, revoked or prohibited to perform the duties of personnel in securities business or derivatives business in any position or nature of work: O yes O no 6.16 Pending under the period prescribed by an
Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete