Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
within 45 days as from the end of each quarter. - The audited annual financial statement shall be submitted within 3 months as from the end of the accounting period. Note: The symbol ** means either review
only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
Regulatory Summary Required documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
Securities and Exchange Act B.E. 2535, the Finance Minister prescribes the Ministerial Regulation as follows: Clause 1 Any securities company obtained some but not all of the securities business licenses in
) fails to fulfill its obligations as to clearing and settlements, all operations must be ceased while risks associated with proprietary trading must be reduced, and client positions are to be transferred
only) A CIS Operator must submit a completed Form 35 – HK-TH MRF in hard copies accompanied by all supporting documentation as specified in Form 35 – HK-TH MRF to the SEC Thailand for the Hong Kong