considered that an applicant has correctly and completely qualified with criteria as prescribed under Clause 3 and Clause 4, the SEC Office shall make the proposal to the Securities and Exchange Commission for
proposal to the Securities and Exchange Commission for permitting license within ninety days from the date on which the SEC Office has received complete application and documentation. In this regard, the
. The rate of management fees and other expenses should be clearly prescribed e.g. being a fixed amount or being a percentage of the asset value of the fund 2. Having rules of practice for prescribing the
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...
Committee shall prescribe rules governing the proposal of names, consideration and selection of commissioners in the SEC or board members in the Capital Market Supervisory Board within thirty days from the
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
position risk ให้บริษัทเลือกวิธีการคำนวณวิธีใดวิธีหนึ่งสำหรับเงินลงทุนทั้งหมดของบริษัท ตามสถานะเงินลงทุนที่บริษัทมีอยู่จริง ดังนี้ แบบที่ 1 : วิธี Fixed-haircut approach สำหรับบริษัทที่ไม่มีสถานะในธุรกรรม
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to