SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
asset business, and the requirement that any business operator that cannot maintain its net capital to meet the criteria must cease its business operation immediately in order to prevent any damage to
Data Processing Data Processing Activities Work Areas Legal Basis for Data Processing The SEC Office collects your personal data in order to upload onto the operating system of the NACC, draft legal
information and documents, as detailed in Chapter 11; (11) additional regulations for operation of specific business, as detailed in Chapter 12. 3 Part 4 The SEC Office’s Power Clause 5 In order for this
/pb_ar_2004.pdf Annual Report 2003 Other Related Entities in order to Ensure Confidence of the Investing Public ● Supervision of Market Intermediaries - Securities Companies - Asset Management Companies
holder of Digital TV license ( Digital TV : NOW 26) in the general SD https://market.sec.or.th/public/idisc/Download?FILEID=dat/news/201801/18003915.pdf 6086pe.doc Clause 31 in order to identify the real
websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store their https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID