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
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
having fulfilled the condition of attending a refresher course in accounting as required by the SEC Notification No. TorJor.39/2559; In case of a foreign company, a chief accountant is required to
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
company or public limited company which is newly established for operating securities business in the said category mutual fund management under this Ministerial Regulation. Clause 3 Limited company or
license in the category of venture capital management under this Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the
under this Ministerial Regulation shall be any of the followings- (1) commercial bank under law on commercial banking; (2) finance company under law on undertakings of finance business, securities
providing services. Clause 2 Person intending to undertake securities business in the category of inter - dealer brokerage shall file an application for approval of establishment of limited company or public
shall file an application for approval of establishment of limited company or public limited company to undertake such business with the SEC Office, provided that such application shall be in form and