provisions under Division 2: Supervision and Control of Chapter 4: Securities Business of the SEA, in whole or in part. 1.3 Paid-up registered capital of securities company The SEC has discretionary power to
Capital Market Supervisory Board; (2) a public limited company whose shares are listed on the Securities Exchange or whose shares are sold on the over-the-counter centre. “subsidiary” means (1) a limited
securities are listed on the Securities Exchange or a securities company. The Secretary-General shall appoint an officer of the SEC Office to be the secretary of the Capital Market Supervisory Board. SECTION
a securities company. The Secretary-General shall appoint an officer of the SEC Office to be the secretary of the Capital Market Supervisory Board. SECTION 16/2. Each board member appointed by the
BUSINESSES B.E. 2561 (2018) Linklaters (Thailand) Ltd 20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/RoyalEnactment
provision: “SECTION 96 The SEC may require a securities company to have a paid-up registered capital in an amount specified for operation of securities business in any particular category or manner.” SECTION
asset or business opportunity of the company in contravention to the rule or general practice as specified in the notification of the Capital Market Supervisory Board. SECTION 89/12 A https
+%22electrica... PowerPoint Presentation Increasing flexibility of supervision and control of securities business The SEC may exempt a securities company from undertaking or prescribe a securities company to
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private