: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
approval of auditors, or an auditor approved by the Bank of Thailand for such accounting year. The finance and securities company shall submit a copy of letter of approval of the Bank of Thailand to the
a legal entity in any of the following categories: 7 (1) a commercial bank under the Commercial Banking Act; (2) a finance company or credit foncier under the Undertakings of Finance Business
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification