have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as https://www.sec.or.th/EN/Pages
capital falls below the minimum requirement level, company must submit notification outlining cause and corrective plan to the SEC within 15 days as well as make necessary corrections within the notified
: Rules and Submitting Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance
Period of Report of Securities Company dated 18 May 1992 and the third paragraph of Clause 3 of the Notification of the Securities and Exchange Commission No. 18/2549 Re: Maintenance of Net Liquid Capital
e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
e-service Online Submission Mutual Fund >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 15/2543 28/08/2000 2. Notification of the Securities
e-service Online Submission Private Fund >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 15/2543 28/08/2000 2. Notification of the Securities
. “securities company” means an entity granted a license to undertake securities business in the category of securities brokerage. “Notification on Standard Conduct of Business” means the Notification of the
company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management