approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the
procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
into categories, such as for the purpose of dividend level maintenance, for business expanding or under encumbrance condition. 26.2 Unappropriated means retained earnings and net income of accounting
(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...