granting approval for establishment of company in accordance with the first paragraph within thirty days from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3
Securities Business: regulations and standards in granting license, supervision, and internal function and operation. Going forward - The SEC is under consideration to implement recommendations from FSAP
rationale for issuing this Notification: As the Derivatives Act (No. 2) B.E. 2551 (2008) stipulates that the granting of approval of regulations of a derivatives exchange or a derivatives clearing house is
granting approval for establishment of company in accordance with the first paragraph within thirty days from the date receiving the SEC’s recommendation. Clause 4 Upon the Minister’s approval under Clause 3
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012 and Clause
opinions on the SEC readiness and related risks to ensure all tasks run cautiously and efficiently. Transparency is also a top priority along every line of responsibility, from granting licenses to
and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the
and Granting of Permission to Securities Companies to Establish Branch Offices _____________ By virtue of Section 16/6 and Section 92 of the Securities and Exchange Act B.E. 2535 (1992) as amend by the
Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission and Granting of Permission to Securities Companies to Establish Branch Offices
Shor. 57/2558 Re: Approval of Foreign Auditors (No.2) dated 10 July 2015. 5 Repealed by the Notification of the Office of the Securities and Exchange Commission No. Sor Chor. 57/2558 Re: Granting of