the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
registration as a qualified fund supervisor, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws
Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliament, as follows: SECTION 1. This Act shall be called the "Securities and
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
Section 147 Securities and Exchange Act B.E. 2535 Section 147. During any two year period, if any securities company does not undertake securities business of the type so licensed in the volume as
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
stipulted by the SEC Office. “ general liabilities ” means total liabilities deducted by qualified liabilities ; “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the