purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
position in the company or upon the retirement of obligation of the company where I hold position or work as to preparation and submission of report on financial condition and result of operation under
liquidity of management company; (2) Investing in instruments having the time to maturity less than one year in which management company intend to hold them until the maturity; (3) Investing in investment
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
term of four years and may be re-appointed but shall not hold office for more than two consecutive terms. Upon expiration of the term of office, the appointment of new Chairman and commissioners shall be
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the