Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
letter of consent. However, the company failed to fully make the required payment accordingly. The SEC has therefore submitted a request to the public prosecutor to file a petition with the Civil Court
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to
interest, including keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the
evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to have contact persons
Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of
:0px;padding:0px;color:#003865;' > The applicant shall file the application for renewal of approval during the month of September to the 15th day of December of the year when such approval will