and Regulations Related forms Secondary Markets Secondary markets or markets for trading of securities and derivatives mean acting as a market or trading center, which in brief means a place where
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the
offence or liability under the Securities and Exchange Act The characteristics, examples and the limitation period of the civil cases which may be requested for a Class Action in order to deal with the
of private fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary
for securities business license in the category of mutual fund management under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place
Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the applicant’s financial
such a way that obstructs securities trading of other persons, which causes other persons to place a trading order at a higher or lower price than it should have been. 1. Trading of securities for
mandatory. Securities companies without custody services for clients' assets: arrangements for any mechanisms or undertakings in place of the tasks of an audit committee. Qualifications of Audit Committees