Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
undertaking of securities business without having obtained a license under Section 90 and subject to penalties under Section 289 of the Securities and Exchange act B.E. 2535 (1992), namely an imprisonment
, the SEC has cooperated with and obtained support from the relevant organizations including the AMLO and the Stock Exchange of Thailand (SET). The filing of a criminal complaint is just the
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
ECD for further investigation and legal proceedings.In any case, filing the criminal complaint is merely the commencement of the criminal procedure whereby the inquiry official will perform an
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious
license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following
licensing fee on the date obtaining a license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license