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upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
business operator requests to set off against such obligation, the derivatives business operator shall provide collateral for the amount requested for set off to the administrator of the customer estate
; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC. "securities brokerage" means brokering or representing any person
(Account Administrator) เนื่องจาก …………………………………………………………………………………………………….………. โดยให้ทำงานในระบบ IPOS-ระบบออกและเสนอขายหลักทรัพย์แทนได้ ตั้งแต่วันที่ ……………. ทั้งนี้ ได้รับสิทธิไม่เกินวันที่ 31 มีนาคม ของปีถัด
control system for member registry works (fund administrator) that is adequate to ensure the correctness and completeness on the following matters: 1.1.1 Document and Information Retention (1) Having a