Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of
คล่องสุทธิ (“NC”) หรืออัตราส่วนเงินกองทุนสภาพคล่องสุทธิ (“NCR”) เท่ากับหรือน้อยกว่า 1.5 เท่าของเกณฑ์ขั้นต่ำ (เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทน
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information