(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using
approval in that specific case and that the benefit to be gained does not worth the cost to be incurred in complying with the said rules or conditions; (2) the management company is subject to restrictions
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The
securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
ตราสารทุนที่จัดประเภทเป็นเงินลงทุนเผื่อขาย และ เงินลงทุนทั่วไป 2.4.3 ขาดทุนจากการด้อยค่าของเงินลงทุนในบริษัทย่อย บริษัทร่วม และการร่วมค้า นอกจากนี้ ในกรณีที่บริษัทหลักทรัพย์มีรายการ ต้นทุนขาย (Cost of
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn