possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief
support business continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are
providing payment services to clients or the ultimate beneficiary changes materially or inappropriately, or there is a reasonable ground to suspect the reliability, accuracy or completeness of the information
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
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
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of