investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private
investor protection, the SEC may prescribe that the license holder who undertakes business in a specified manner be exempted from undertaking or undertake in a different manner from the provisions under
Microsoft Word - SEA-ÃÒ©ºÑº 6-3-51.doc (Unofficial Translation)* Securities and Exchange Act (No. 4) B.E. 2551 _________________ BHU BHUMIBOL ADULYADEJ, REX., Given on the day of 23rd February B.E. 2551 Being the 63rd Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to amend the law on securities and exchange; Whereas this Act contains certain provision relating to the restriction of rights and liberties of persons wh...
SEC may grant a waiver of compliance to a company established by and subject to a foreign law whereby measures for investor protection are prescribed in a similar manner to the measures prescribed in
-General shall have authority over the officers and employees and shall be responsible for the operation of the SEC Office. In the operation of the SEC Office, the Secretary-General shall be responsible to
the Secretary-General, the prohibition in accordance with Section 22/1 shall be taken into consideration. SECTION 23. The Secretary-General shall have authority over the officers and employees and shall
), (5) or (6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the power to impose one or several sanctions and shall also have the power to order the
have the power to impose administrative sanctions under Section 67(1), (2), (3), (4), (5) or (6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the
(6). In the ordering of the administrative sanctions under Section 67, the competent authority shall have the power to impose one or several sanctions and shall also have the power to order the