prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading
approval is refused, the applicant shall also be notified of the reasons therefor. SECTION 6.4 Where the signatures of the directors or registrar are required in securities certificates under this Act, the
in a governmental agency, the SEC Office, the Stock Exchange, the over-the-counter center or the Derivatives Exchange, who is in the position or the condition that can access inside information through
paragraph after one hour has lapsed, the securities company may call for a new unitholders’ meeting for which the quorum is no longer required. The resolution of the unitholders shall be derived from the
instruction from, the act of, or the failure to give instruction or to act which is a duty required to be performed by, the director, manager or any person responsible for the operation of such securities
regards the transfer of assets under an approved project where the seller of the assets is required to receive the re-transfer of assets from a special purpose juristic person, the provisions of Section 15
which is a duty required to be performed by a director, manager or any person responsible for the operation of such juristic person, such person shall be liable to imprisonment for a term not exceeding