upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
18 03/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission  KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses 23/11/2011 01/12/2011 3
the Securities and Exchange Commission  KorThor/Nor/Khor. 14/2551 Approval for Undertaking of Derivatives Business (Codefied) 05/11/2008 16/11/2008 Notification of the Securities and Exchange
. 2546 18 03/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission  KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses 23/11/2011 01/12/2011 3
Commission  KorThor/Nor/Khor. 14/2551 Approval for Undertaking of Derivatives Business (Codefied) 05/11/2008 16/11/2008 Notification of the Securities and Exchange Commission KorThor/Nor/Khor 14/2551
into their businesses. The aforesaid act was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). This case is under
was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). This case is in the process of inquiry by the inquiry official. DV
audit quality, training sessions on how to remedy the recurring deficiencies identified in several audit firms. Such efforts to develop audit 02 quality have evidently paid off with the improvement of the
any loss or damages arising out of or in connection with its use. Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) By the virtue of
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By