period as it deems appropriate. Clause 3 A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4
A derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into
the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications
licensee has satisfied the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change
and APEC Asia Region Funds Passport shall take effect, mutatis mutandis, to the extent that they are not inconsistent with or contrary to the provisions prescribed herein. Chapter 2 Application for
ago or such behavior is not severe to the extent that the person should not be entrusted to perform duty as auditor of entities in the capital market, the SEC may disregard such facts as a cause for
Deputy Secretary- General Ex-officio member He graduated with a Bachelor of Laws from Thammasat University, Thailand and a doctorate degree in the same field from University of Toulouse, France. Besides
from the day the testing is completed. Clause 25 In cases where there is a change to a computer system relating to trading services with respect to derivatives to the extent that it affects the business
academic qualification of a bachelor’s degree in accounting and are members of the FAP, in the total number of not less than five persons who shall work full-time for the audit firm. As for the certified