indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its
proceedings instituted by the authorities in accordance with law on protection and suppression of money laundering; (4) was convicted by the court’s final judgment on the offences relating to property committed
respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; (5) be able to show that its operational system will be prompt for operating securities business in
in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable business conduct; In case where shareholder under the first paragraph is a legal entity, its director or
the public, as the case may be Must comply with criteria for protection of shareholders (notice calling letter, resolution of the shareholders' meeting, right to veto) Definition of a market price can
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
the policy or the supervisory rules in effect at the time or to ensure the interest of investor protection, the SEC is empowered with rights to order the mutual fund management company to take any
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date
date on which the Securities and Exchange Act B.E. 2535 comes into force ; (3) hold shares of any securities company in the amount equal to or exceeding ninety-nine percent of the total paid-up
> Equity Instrument Regulations SHARE : Detail Content Equity Instruments Regulations on equity instruments are aimed at creating a balance between the protection of investors and effective fund mobilization