undertaking business for not less than a period of three consecutive years holds more than fifty percent of its total shares with voting rights. Clause 3. An applicant shall be granted a license to undertake
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
notified by the Office, irrespective of whether they are borrowed under one transaction or consecutive transactions from one lender or more. Clause 6. In carrying out the borrowing and lending of securities
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง
liquid capital more than the aforesaid rate for at least two consecutive business days and a securities company has already filed the report of net liquid capital calculation of those two consecutive
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
responsibility in the audit within a period of (“the cooling-off period”) · five consecutive years* for audit engagement partner · three consecutive years for EQCR and · two consecutive years for other key audit
, the Office of the Securities and Exchange Commission hereby notifies that 6 July 2009 has been set as a special holiday for securities companies and derivatives business operators. Notified this 11th