qualifications as prescribed under Clause 7; (2) the applicant does not have any prohibited characteristics under Clause 8, and (3) the applicant has paid for the application fee under the Notification of the
following conditions: (1) the applicant have qualifications as prescribed under Clause 7; (2) the applicant does not have any prohibited characteristics under Clause 8, and (3) the applicant has paid for the
|- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter Marketing |- Approval and Standards
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
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any person to be or to
Operator _________ Whereas Section 24 of the Derivatives Act B.E. 2546 (2003) and Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and
. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of an Executive of a Derivatives Business Operator dated 13 September 2005 stated that an appointment or the consent to have any