by the SEC Office to have important rules related to supervision of investment management equivalent to the rules governing securities companies licensed to undertake securities business in the
Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
Commission governing approval for auditors of securities companies and finance companies. Clause 9. Where the creditors do not serve to the liquidator notices calling for repayment of debts, or the unitholders
Exchange Commission Governing Undertaking of Other Business of Securities Companies B.E. 2552 (2009) ___________________ Whereas Section 98(8) of the Securities and Exchange Act B.E. 2535 (1992) as amended
or borrowing or lending, or for any other purposes as specified by the Notification of the Securities and Exchange Commission governing custody of clients’ assets by securities companies, shall prepare
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
broker; (2) “ institutional client ” means any client who is the following persons: (a) commercial banks; (b) finance companies; (c) securities companies; (d) credit foncier companies; (e) non-life
Securities and Exchange Act B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The founding securities companies shall submit an application for the
Exchange Commission No. SorThor. 18/2551 Re: Office Hours and Holidays of Securities Companies _____________ By virtue of Section 108 and Section 110 of the Securities and Exchange Commission Act B.E. 2535