KorKhor. 5/2551 Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of
asset business operators shall seek approval from two authorized persons. In case of a withdrawal or transfer at an amount of 50 million baht or more, another independent authorized person is required to
provision.However, the draft guidelines will be effective and applicable to the aforementioned business operators only if approval from SEC has been obtained. SEC is, therefore, seeking comments from the business
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
. 2546 30 03/07/2003 06/01/2004 2. Notification of the Office of the Securities and Exchange Commission SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives
Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue