association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under  the Securities and Exchange Act B.E 2535 only. In so

person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records, who are capable and have experiences beneficial to business operation; (3

 of inter - dealer brokerage shall- (1) not have shareholder or controlling person with proportion or characteristics as specified by the SEC; (2) have honest executives as apparent from working records

. 60/2561 Re: Rules, Conditions, and Procedure for Outsourcing Functions Related to Business Operation to Third Party The Notification of the Office of the Securities and Exchange Commission No. SorThor

securities company with disqualified characteristics under sub-clause (3); (5) have financial condition or result of operation which the SEC may consider that the securities company severely suffers loss, the

the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc

condition or result of operation which the SEC may consider that the securities company severely suffers loss, the consideration on which shall take the following factors into account;    (a) difference of

: Annual Registration Statements (form 56-1) and Annual report (form 56-2) Important information that must be disclose are, such as, Risk factors Type of operation Capital structure Management structure

three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of

toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of such person or any other law relating to financial