The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
Section 22 of the Derivatives Act B.E. 2546 (2003), the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. Operators of derivatives business wishing to apply
. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. Any person who wishes to apply for a license for undertaking securities business pursuant to the
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
within ninety days from the dissolution date of the mutual fund. After the liquidation is completed, the liquidator shall then apply for registration of the dissolution with the Office, as well as submit a
Approval _______________ Clause 14 The management company wishing to apply for an approval for the establishment of a fund shall submit an application in writing including the following supporting documents
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