Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
While all securities companies were required to have paid-up registered capital at the same amount of 100 million baht, the new rules require that applicants and licensees of all types of
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
securities in its possession. The SEC is therefore conducting this public hearing to gather feedback from stakeholders. The key points of the proposed amendments are as follows: (1) To require securities
The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less
Technology System dated 12 September 2016 (“Notification No. Sor Thor. 37/2559”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information
scores and recommendations are summarized as follows:(1) Client acceptance and continuance (A&C): Some audit firms may need to improve A&C by requiring consideration on all significant information before
that wou s on Acquisiti to Listed Com for the sake % of sharehol osure dissemi ld require the on or Disposa mpanies Conc of good corp lding the Com nation system e Company to al. And the tr cerning the C