manager shall also have the qualifications specified under Sub-clause (2) and (3). In case where shareholder under the first paragraph is a commercial bank under law on undertaking of finance business
working paper which must be maintained as a record for a minimum of 3 years; Reporting to the SEC of any non-cooperation cases of the clients. Failure to report to the SEC will be deemed FAs' flaws
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date
shares in the amount equal to or exceeding ninety-nine percent of the total paid-up registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of
Act B.E. 2535. Clause 3 Undertaking of inter-dealer brokerage under Clause 2 means providing of the services for consideration in forms of brokerage fee, other fees or other remunerations as a
the juristic person invests. Definitions of "institutional investor", "venture capital juristic person" and "enterprise" shall be prescribed by the SEC. Clause 3 This Notification shall come into
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
fee remains unpaid prior to the date on which this Ministerial Regulation comes into force." This English version is prepared by Legal Department with the sole purpose of facilitating the comprehension