securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders
auditor qualifications in relation to experiences and introduction of new measures and sanctions relative to levels of misconduct ranging from minor to serious. In addition, the approval criteria for
Business dated 5 November 2008, and thus failure to maintain qualifications legally required of a derivatives business operator.The SEC Board has therefore ordered a revocation of the company’s derivatives
to investment loss. The SEC is therefore proposing to specify the qualifications of cryptocurrency investors to ensure proper investor protection mechanism in consistent with the level of risk
Board No. TorThor/Nor/Khor. 58/2552 Re: Qualifications and Other Prohibited Characteristics of Directors and Executives of Securities Companies (Codified) By virtue of Section 16/6 of the Securities and
This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
established under other laws. The proposed revision includes the exemption of independent director rules for all licensed business operators, under the specified criteria. The qualifications of independent
Board No. TorThor/Nor/Khor. 87/2552 Re: Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) By virtue of Section 18 and the first