Transitional Provisions ______________________ Clause 14. The person who has obtained permission or approval for being advisor under the Notification No. OrNor. 2/2545 or securities investment analyst under the
establishment of Thai Feeder Funds and Hong Kong Feeder Funds [ effective upon the signing of HK-TH MRF MoU] The SEC agreed to expedite the approval process of a Thai Feeder Fund investing in a Hong Kong Master
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
issue the notification to the public specifying the period for consideration of the issuance of a license and granting of an approval under this Act. In cases where an application for a license or for an
, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index
________________________ By virtue of Paragraph 1 of Section 109 and Paragraph 1(2) of Section 141 of the Securities and Exchange Act B.E. 2535 (1992) , with the approval of the Capital Market Supservisory Board, Section19
analysis in securities through mass media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission