authorities. Under the law, advisers with between $25 and $100 million of assets under management are directed to register with the states, if they are subject to examination by state securities
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which
statements. Accordingly, TIES must submit to the SEC and publicly disclose the financial statements, urgently. Earlier, the SEC had directed TIES to rectify its 2014 financial statements due to the auditor’s
to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval under this Act. SECTION 6 All rules, regulations
approval under this Act. SECTION 6 All rules, regulations, notifications, directives or stipulations issued under this Act by the SEC or the SEC Office which are of general application shall come into force
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
statement; (4) re-examining and reviewing in the compliance of rules; (5) supervising the internal examining unit; (6) performing any other duties assigned by the SEC. In the execution of the duties under the
mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.