such license. Clause 9 An applicant shall be granted a derivatives business license type Sor-1 only upon meeting the following qualifications: (1)4 having paid-up registered capital under Notification of
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
provided to ensure proper implementation by SEC employees. The meeting took place on 24 April 2024, at the SEC Building.
provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would
operator shall submit an application for approval to the Office of the Securities and Exchange Commission together with supplementary documents in accordance with the form and procedure provided in the SEC’s
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
draft rules permit business operators to provide services under their licenses and the foreign investment quota granted by the Bank of Thailand. In this regard, permissible investment products denominated
well as submit the special audit report to the SEC by October 7, 2013. Mill later requested the SEC for deadline extension to allow sufficient time for auditor to do the job. The SEC therefore granted an