proceedings instituted by the authorities in accordance with law on protection and suppression of money laundering; (4) was convicted by the court’s final judgment on the offences relating to property committed
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
. 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
relating to property committed https://www.sec.or.th/EN/Pages/LawandRegulations/MinistrialNotificationMNSEAPVD-8Notification.aspx < > > < > > Previous First ... 13 14 15 16 Last Next
Duty). One year from the day when the wrongful act and person bound to make compensation become known to the injured person, or ten years from the day when the wrongful act was committed. Breach of
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
, who are capable and have experiences beneficial to business operation; (3) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control
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