. 15 (B.E. 2543) promulgated under the Securities and Exchange Act B.E. 2535 shall be allowed to proceed with operation of securities business as licensed and shall, within 31st January B.E. 2545, pay
. 2543) promulgated under the Securities and Exchange Act B.E. 2535 shall be allowed to proceed with operation of securities business as licensed and shall, within 31st January B.E. 2545, pay the license
. 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
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
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate
management of the mutual fund may cause damage or unfair treatment to the investors. (5) The operation of the mutual fund is inconsistent with the approved scheme. In this connection, the SEC has the power
matter that may have significant impacts on the mutual fund's benefits; 3. Establish an operation system for auditing on exercising of voting rights; 4. Disclose to investors through an appropriate