Products shall be as set out in Chapter 3; (4) Service Personnel shall be as set out in Chapter 4. Clause 6 The SEC Office may prescribe a detailed guideline of the provisions under this Notification to
Phuvanatnaranubala) Secretary-General The Office of the Securities and Exchange Commission Remark: The rationale for issuing this notification is as follows: to clearly prescribe criteria for permission to establish a
Exchange Commission Remark: The rationale for issuing this notification is as follows: to clearly prescribe criteria for permission to establish a branch office of a management company as well as the rules
and volume of transactions. The Thailand Futures Exchange Plc and the Office of the Securities and Exchange Commission prescribe no regulation on commission rates. 3.3 Risk of Liquidating Position and
, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry
recommendation.8 Securities business license shall be in form specified in the notification of the SEC.. Clause 16 In issuing securities business license, the Minister shall prescribe conditions in the following
and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities
Audit Committee Part 1 Business Operation and Operating Results The information of the attachments may be disclosed on the Company’s website. In such case, Form 56-1 One Report must specify the website or
=8259 Section 96 of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2