and loyalty, and shall comply with all laws, the objectives, the articles of association of the company, the resolutions of the board of directors and the resolutions of the shareholders’ meeting
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
person other than a securities company which is a member of the Securities Exchange is allowed to conduct the purchase or sale of a particular type of listed securities on the Securities Exchange.” SECTION
company. The auditor of the private fund must adhere to the code of conduct and perform the auditing to provide opinion on the financial statements in compliance with the requirements of the law relating to
ทรัพย ์และให้คณะกรรมกำร ก.ล.ต. มีอำนำจกำหนดหลักเกณฑ์ให้ตลำดหลักทรัพย์ปฏิบัติ ( conduct rules) รวมทังเพิมบทลงโทษ หำกตลำดหลักทรัพย์ฝ่ำฝืนหลักเกณฑ์ดังกล่ำว เพือให้เป็นไปในแนวทำงเดียวกับทีกำหนดไว้ใน พ.ร.บ
advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving of advice is solely a part of or an incidental to the conduct of business as a
(Translation) (Unofficial Translation) The Trust for Transactions in Capital Market Act B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and liberties...