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
anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines” means guidelines concerning risk
” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines
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
B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
Bar Association, a Master of Laws from Tulane University, USA, a Master of Economics from Sukhothai Thammathirat University, and a Ph.D. in Development Administration from National Institute of
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
or investment units; (2) a person licensed to undertake derivatives business in the category of derivatives broker; “securities company association” means an association relating to securities business
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered