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
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
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
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
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it
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