Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
any natural person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has
by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by and registered with
the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute
association or a training institute, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall
, leasehold rights to immovable properties, or the seeking of benefits generated by other means; “scheme” means a mutual fund management scheme; “association” means an association related to securities business
, leasehold rights to immovable properties, or the seeking of benefits generated by other means; “scheme” means a mutual fund management scheme; “association” means an association related to securities business
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking