Prescription of Conditions for Securities Companies to Apply for Approval of Person to Be Major Shareholder, mutatis mutandis. In this regard, in case such person is a juristic person, the directors or partners
, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients unfairly. 3 Amended by
obtained more than one license, the licensee shall pay the total fees of all licenses together. In this regard, the payment obligation shall only apply to the licenses that have been activated. Clause 5 The
licensee has obtained more than one license, the licensee shall pay the total fees of all licenses together. In this regard, the payment obligation shall only apply to the licenses that have been activated
of funds between Hong Kong and Thailand shall become effective upon the SEC’s completion of the amendments to the relevant regulations. In this regard, the SEC has issued two Notifications of the
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives
Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the arbitral process under the Derivatives Act B.E. 2546
the rules specified under Clause 2, the Office shall notify the securities company of the termination of approval. In this regard, the provision in the second paragraph of Clause 3 shall apply, mutatis