professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
) , Section 98(3) (5) and (7), the second paragraph of Section 100, the first paragraph of Section 109, Section 114, Section 115, Section 116 and Section 117 of the Securities and Exchange Act B.E. 2535 (1992
first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able to effectively perform duty as
; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a
from service provider; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3; The Office of the Securities and Exchange Commission shall
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
. Guidelines for consideration of the interest in accordance with the first paragraph shall be specified by the SEC. SECTION 14. The SEC shall have the power and duty to formulate policies to promote and develop
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1
following regulations: (1) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other