juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
responsible person who has duty to undertake and be liable for arranging and keeping information, document or evidentiary documentation in accordance with the rules as prescribed in sub clause (1) and (2); (4
Market Supervisory Board concerning Outsourcing Some Operations in Securities or Derivatives Business to Others. 8 govern them to be approved person according to such requirement and control them to
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
._____________________________* Pursuant to SECTION 89/25, in auditing a securities company or a company in accordance with the auditing standards, either as the appointed auditor of such juristic person or as a person allowed
Loan to Value regulation or “LTV”. Moreover, the household debt has been steadily increased in recent years which result to the strict in granting a loan to the borrower from many financial institutions
been steadily increased in recent years which result to the strict in granting a loan to the borrower from many financial institutions. Majority of the company’ income from real estate business in 2019
certain areas, particularly disclosure. The Morning Star Research announced the findings from its Global Fund Investor Experience Study 2013 evaluating the experiences of mutual fund investors in 24