shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of an
shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of an
to the Licensing Manual for the Public. Clause 7 In case of an application for an offer for sale of newly issued units with a guarantee of income, the applicant shall submit the evidentiary
status and operating results of the Company. • There was no effect from the shareholding restructure of group companies to the operating results of the Company. • The Company had no guarantee for outsiders
trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing
trading agreement. Therefore, it is necessary to have a clearing and settlement system whereby a clearing house acts as a Central Centerparty (CCP) for the buyer and the seller, and will guarantee clearing
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General
an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1
SEC has also coordinated with the Department of Special Investigation (DSI), the Economic Crime Suppression Division, and the Technology Crime Suppression Division for their respective consideration
) the Technology Crime Suppression Division, (4) the Economic Crime Suppression Division, (5) the Office of Consumer Protection Board, (6) the Fiscal Policy Office, (7) the Office of the National