prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be made pursuant to the rules specified in the
) or (2) has control; (4) any other persons as specified in the notification of the Capital Market Supervisory Board. When any person acts with understanding or agreement that if the company enters into
approval is refused, the applicant shall also be notified of the reasons therefor. SECTION 6.4 Where the signatures of the directors or registrar are required in securities certificates under this Act, the
paragraph after one hour has lapsed, the securities company may call for a new unitholders’ meeting for which the quorum is no longer required. The resolution of the unitholders shall be derived from the
instruction from, the act of, or the failure to give instruction or to act which is a duty required to be performed by, the director, manager or any person responsible for the operation of such securities
regards the transfer of assets under an approved project where the seller of the assets is required to receive the re-transfer of assets from a special purpose juristic person, the provisions of Section 15
. มีการจดัท าบนัทึกความเขา้ใจ (Memorandum of Understanding) กบัหน่วยงานก ากบัดูแลดา้นการเงินของต่างประเทศ เพื่อเสริมสร้างความร่วมมือกบั หน่วยงานก ากบัดูแลดา้นการเงินของต่างประเทศในการก ากบัดูแลโดยการแลก