show that its operational system will be prompt for operating securities business in the category of venture capital management; consideration on which will be taken into account its internal control
operating securities business in the category applying for the license, and other businesses as permitted by the SEC; (3) be able to show that its operational system will be prompt for operating securities
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
with respect to business operation; (5) have operational system promptly for providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage
By virtue of Section 4 of the Securities and Exchange Act B.E. 2535, Finance Minister by the SEC’s recommendation hereby issues the following regulations. Clause 1 In this Notification: “securities
set aside reserve capital in accordance with law controlling business undertaking of such legal entity; (2) be able to show that its operational system will be prompt for operating securities business
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
operational system will be prompt for operating securities business in the category of private fund management; (6) be able to show that its human resource will be prompt and adequate with a view to
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
application for approval of establishment of limited company or public limited company to undertake such business with the Minister for his approval under the SEC’s recommendation. Such application shall be