Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
period. Additionally, the company failed to prepare and submit reports on its information technology systems to the SEC within deadline. Therefore, Longroot was deemed to have failed to comply with the
in accordance with the rules and procedures prescribed by the Office. The provisions under the first paragraph shall not apply to the investment advisory company licensed to operate other type of
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
every firm passed the six key elements with highest average score in the area of client acceptance and continuance (A&C) where most firms already have in place engagement acceptance procedures that take
, Conditions and Procedures for Securities Underwriting (No.7) dated 21 November 2012. 3 (10) “related securities company” means: (a) a securities company holding shares of a securities underwriter in the amount
Public Company Limited By virtue of paragraph one and paragraph three of Clause 12 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for
December 2007. In which case, the management company shall comply with the Notification of the Securities and Exchange Commission No. SorKhor/Nor. 1/2549 Re: Rules, Conditions and Procedures for Management
: Rules, Conditions and Procedures for Securities Underwriting _____________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E.2535 (1992) as amended by the Securities and