Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
purpose of standardizing the operating control of brokerage and dealing of securities that are not debt instruments, the SEC Office hereby issues the following preliminary common guidelines for securities
damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorKhor. 7/2551 Re: Determination of Paid-Up Registered Capital of Securities
Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any
revised to address the observed deficiencies. 5 Review the previous year’s ACR report with the current year and find out how the action points/concerns have been followed up. 6 Where the firm operates as
reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Securities and Exchange Commission No. KorThor. 15/2551 Re: Determination of Paid-Up Registered
Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a
and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 26/2545 Re: Determination of Paid-Up Registered Capital of Securities Companies Licensed to Undertake
Exchange Commission No. Kor Thor. 25/2560 Re: Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee By virtue of Section 14 of the Securities and Exchange Act B.E