by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities Businesses (amended by No. 12 and No. 19) 5 Application for Additional Securities Business License B.E. 2539
separation of the role of chairman and CEO in order to ensure an appropriate balance of power between the board of directors and the management. UPDATE: The SEC has issued the Notification of the Capital
. Regulatory Summary Main Duties of a Trustee Ensure that the trust deed is executed in compliance with the laws Appoint a trust manager Prepare a trust property account in separation from any other accounts
registered capital on the date on which the Securities and Exchange Act B.E. 2535 comes into force; (4) be the securities company established upon the separation of finance and securities businesses of the
) be the securities company established upon the separation of finance and securities businesses of the securities company with disqualified characteristics under sub-clause (3); (5) have financial
values using a fair price. The value per investment unit shall be rounded up to a minimum of 10 decimal digits according to international standards. (2.3) Increase or reduce the number of investment units
provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
the accounting periods that the mutual fund have retained earnings or net profit, provided that: 1) The dividend payment must not increase the mutual fund's retained loss in that accounting period. 2