Ministerial Regulation - securities business 02 - 2555 หน้า ๓๙ เล่ม ๑๒๙ ตอนที่ ๙๒ ก ราชกิจจานุเบกษา ๒๘ กันยายน ๒๕๕๕ กฎกระทรวง ว่าด้วยการอนุญาตการประกอบธุรกิจหลักทรัพย์ (ฉบับที่ ๒) พ.ศ. ๒๕๕๕ อาศัยอํา
Ministerial Regulation - securities business 03 - 2555 หน้า ๑๖ เล่ม ๑๓๐ ตอนที่ ๑ ก ราชกิจจานุเบกษา ๔ มกราคม ๒๕๕๖ กฎกระทรวง ว่าด้วยการอนุญาตการประกอบธุรกิจหลักทรัพย์ (ฉบับที่ ๓) พ.ศ. ๒๕๕๕ อาศัยอํานาจ
PowerPoint Presentation Summary of The Securities and Exchange Act (No. 6) B.E. 2562 The SEA (No. 6) consists of 6 topics 2/10 Supervision of securities business Supervision of mutual fund management
institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities and Exchange Act, then a license from the SEC is
institutional investors shall register with the SEC Office, unless it engages in the derivatives fund management business for a mutual fund under the Securities and Exchange Act, then a license from the SEC is
completed. SECTION 244/2 The provisions under Section 244/1 shall apply to securities companies that operate the securities business of fund management as well as officers or employees of such securities
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of investment as specified in the notification of the SEC. 3 indicated
, which are capable of protecting the computer system and computer data as well as the management of risks associated with crime or other causes; (4) appropriate accounting systems for the business and
the computer system and computer data as well as the management of risks associated with crime or other causes; (4) appropriate accounting systems for the business and auditing by the auditor approved