(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management
The SEC and the SEC Office shall issue a notification to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval
and Exchange Act B.E. 2535 (1992) shall apply mutatis mutandis to a derivative broker in respect of providing operational control and security for information technology . Clause 3. This Notification
firm’s seal (if any) as well as affix signature on every page of the Form of audit firm Profile and Details. In this respect, if the authority to affix signature on the Form of audit firm Profile and
of margin call: (1) the required amount of the initial margin and the maintenance margin . If the derivatives broker calls for a different amount of initial margin or maintenance margin in respect of
the Office 4.1 Eligible applicants (a) In respect of training course or seminar, the organizer such as training institutes or securities companies shall be the person to submit application to the Office
1(1) only. With respect to the calcuation of the amounts under Paragraph 1(2) or (3), where the intermediary engages in the business of investment advisory service as well as the derivatives advisory
respect of executive director, director authorized to sign on behalf of the company, independent director, manager or any person holding equivalent position called otherwise: 1. At least a bachelor’s degree