profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
person. [ ] Yes [ ] No (3) I have been denounced by the SEC Office or have been tried in any criminal proceedings resulted from denunciation by the SEC Office or was imprisoned by the court’s final
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
proceedings to the solution is deemed final, unless otherwise specified by the Office. Clause 5 This Notification shall come into force from 1 December 2005. Notified this 14th day of November 2005 (Mr
the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds thereform to invest in, or procure for profit from
under (b) or (c). (2) within a period of ten years prior to the filing date of the application for an approval to establish a fund, such person has been sentenced by a final judgement in an offense
, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the characteristics as specified in the notification of the SEC. “derivatives exchange