may not require a securities company to have a paid- up registered capital in an amount specified for operation of any particular category of securities business, except for a security company operating
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
public limited companies. SECTION 33.4 No company shall offer for sale newly issued securities in the category of shares, debentures, bills, certificates representing the rights to purchase shares
sale newly issued securities in the category of shares, debentures, bills, certificates representing the rights to purchase shares, certificates representing the rights to purchase debentures, and other
provision: “SECTION 96 The SEC may require a securities company to have a paid-up registered capital in an amount specified for operation of securities business in any particular category or manner.” SECTION
Securities and Exchange Act B.E. 2535 shall be amended and replaced by the following texts: “SECTION 33. No company shall offer for sale newly issued securities in the category of shares, debentures, bills
part. SECTION 33/2 In case of an offering for sale of newly issued securities in the category specified in the notification of the SEC whereby the return of such securities depends on the financial
matter. Section 13.2 The fund shall be managed by a person who is not the employer and is licensed to operate securities business in the category of private fund management under the law governing
The fund shall be managed by a person who is not the employer and is licensed to operate securities business in the category of private fund management under the law governing securities and exchange
offer for sale of newly issued securities or an application for the establishment of a mutual fund under the law governing securities and exchange, and the category of person who will act as the special