Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
/2553 Re: Approval of Auditors in the Capital Market Whereas Section 61, Section 89, Section 106, Section 199 and Section 217 of the Securities and Exchange Act B.E. 2535 (1992), and Section 140 of the
. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
) the administrative sanction to restrict or suspend business undertaking or revoke licenses, registration or approval shall be imposed on the violation or non-compliance with any of the following
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106
. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval