Exchange Commission No. Kor Mor. 24/2562 Re: Determination of Fees for Undertaking Businesses According to Licenses ________________________ By virtue of Section 14(2) of the Securities and Exchange Act B.E
Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
group of companies that identifies the shareholding proportions and the voting rights (if different from the shareholding proportions). In case of a subsidiary formed by a joint venture agreement with
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
to undertake securities business in the category of investment advisory service or venture capital management shall have paid-up registered capital of not less than one million baht. In the case where
subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or