twenty-five million baht as of the filing date of the application; (2) being able to demonstrate the ability to comply with the conditions concerning the paid-up capital as prescribed under Clause 10(4
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
website ของสำนักงาน ที่ www.sec.or.th ภายใต้หัวข้อบริการออนไลน์ แบบรายงาน งบการเงิน (บ.ล. 1 บ.ล. 1.1) ทั้งนี้ สำนักงานขอความร่วมมือให้บริษัทหลักทรัพย์ยังคงส่งรายงานดังกล่าว ในรูปแบบเอกสารด้วยเฉพาะงวดครึ่งปี
with this, such report shall be according to the rules and procedures as specified on the SEC Office’s website; In case of offering for sale of bonds under the Notification of the Capital Market
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of