(3), as the case may be. Clause 5 For compliance with this Notification, the SEC Office shall be empowered to stipulate in detail the criteria for the following matters: (1) details on liquid assets
notice of such intentioin to the SEC Office is not required to comply with the provisions under Clause 3 and Clause 4. The SEC Office shall be empowered to require the derivatives broker under the first
duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the
exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
management company . Chapter 3 Power of the SEC Office regarding Issuance of Orders or Regulations ___________________ Clause 16 In addition to the specific provisions hereof, the SEC Office is empowered to
for less than 3 years as from the date when the court has sentenced thereof; (4) being considered, by the regulator of financial institution or an agency empowered by law regardless of local or foreign
/1 [of the Securities and Exchange Act B.E. 2535 (1992) ]. Clause 4 For the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) announce a detailed guideline for
the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would