Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
the shareholders’ meeting for their approval. 4. Approve the amendment of the Memorandum of Association Clause 3, regarding the objectives of the Company, by adding 1 new Clause as Clause 36. In order
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
has carried out various undertakings in preserving the trustworthiness of financial reporting system and protecting investors. With respect to audit quality inspection, the results showed that in the 3
B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 An association related to securities business shall have other regulations concerning the
-counter centre, organization related to securities business, derivatives business, derivatives trading centre, derivatives clearing house, derivatives regulatory association or any other companies which are