the power to revoke the registration of derivatives business operator. In case where the SEC Office knows that the cause of not maintain the 3 Amended by the Notification of the Securities and Exchange
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
February 2020 of Rich Asia Industry Company Limited (“Subsidiary Company”) in order to do legal registration in transferring and registering the ownership of 87 machines no. 41-318-306-0197 to 0286, located
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
operation as executive, including a person who holds the position with the same authority as such person of the company. “registration statement” means a registration statement for an offer for sale of