party's own benefit or in capacity of an agent of a non-resident third party; (2) providing service of securities borrowing and lending by securities depositary center to its members, if securities
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
capacity to continuously and reliably manage the trust according to the trust instrument. In case of a non-asset company, the SEC prescribes additional requirements as follows: A paid-up capital of not
, accordingly, cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising out of or in connection with its use. SHARE : For More Information ContactUs Legal
also a team of knowledgeable and competent engagement partner and audit staff working together under a reliable audit quality control system of the audit firm. As such, the auditing must be carried out
fund has net profits or retained earnings in the accounting period of dividend payment is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount
is less than the dividend payment calculated, the mutual fund management company shall pay out whichever amount that is greater between net profits and return earnings as the dividend; (2.2) Where the