Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114
|- Advertising (section 98(10)) |- Statutory Disqualifications for Management (section 103) |- Management Approval and Revocation (section 104) |- Accounting and Records (section 105) |- Audited Financial
business operators with similar characteristics that may inadvertently exceed their licensed scope. Such cases could lead to disqualification and potential license revocation, which could affect a large
their applications for approval as capital market personnel for the period of ten years. For Thanjira, the revocation will be effective from October 7, 2014 while Surasak?s revocation will be effective
of the fourth paragraph or the fifth paragraph shall be subject to revocation by the Office of the approval given for such auditor. (As amended by Section 6 of the Securities and Exchange Act (No.2
e-service Online Submission See canceled document Securities Borrowing and Lending >> Revocation of License (section 147) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Securities Borrowing and Lending >> Management Approval and Revocation (section 104) Type Title Section See Document Status Notified Date Effective
e-service Online Submission See canceled document Bond Dealer and Underwriter >> Revocation of License (section 147) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Securities Brokerage Business >> Revocation of License (Section 147) Type Title Section See Document Status Notified Date Effective Date 1. Act