paid-up capital suitable for the business nature and risks instead. In addition, the SEC Board has the power to exempt certain business undertaking from being classified as securities business such as
development of fund structure and duties of person in relation to the registration of provident fund, allowing the provident fund to have the central registrar, and enabling transfer or payment in securities or
fundraising and without the expectations of scheme success or the consideration of the qualifications of the person responsible for the operation of the scheme. In this regard, the issuance and offering of
separate juristic person from the Stock Exchange of Thailand (SET), as recommended by the Ministry of Finance, and appointing the SET chairman as CMDF president, and the SET executive as CMDF manager. In
investor contact should not support, instruct or cooperate with any person to act in violation of law on securities and exchange and regulations. The SEC, therefore, suspends {A} from performing duties as
Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
following characteristic: (1) An offer for sale to the investors under Clause 21(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
provisions relating to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of
/Form (Notification of Securities and Exchange Commission) Certified Form Relating to Acting in Compliance with Related Laws of Applicant who is Juristic Person/Financial Institution or Individual