business operation that they are required to apply for the respective licenses with the SEC by 24 February 2021. For more information and inquiries, please contact SEC Help Center at Hotline 1207, press
> Ministerial Regulations > MRSA Ministerial Regulation SHARE : Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of
efficiently supervise and examine the operation of such branch office in order to facilitate business undertaking and management of the organization of securities company to be more flexible and capable of
is adequate to personnel and the undertaking of business. Chapter 3 Fund Management Operation System 3.1 Accepting of Purchase or Redemption Order of Investment Units Objective A management company
Notification of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business, dated 8 March 2006 and to have the same standard, the
of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contains
. ----------------------------- Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business By virtue of Section 9 and the third paragraph of Section 16 of the
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons