the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor
securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account; (a) difference of