Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
, Thai Financial Planners Association Regional collaboration and international organizations, such as ASEAN Capital Markets Forum (ACMF), Asian Development Bank (ADB), International Organization of
maintain such status when the renewal application is filed. 2. The Contacts approved on a basis of being an approved or registered investor contact with a regulatory organization on capital market of a
maintain such status when the renewal application is filed. 2. The Contacts approved on a basis of being an approved or registered investor contact with a regulatory organization on capital market of a
B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
ในต่างประเทศส่วนใหญ่ จะทาํหนา้ที 3 ดา้น กล่าวคือ (1) เป็นองคก์ร กาํกบัดูแลตนเอง (self-regulatory organization) (2) เป็นสมาคมการคา้ (trade association) เพือบริการสมาชิก และ (3) เป็นสถาบนัความรู้ของ