Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds ; (3) shall assess credit risk of deposit taker, issuer of certificate of deposit, drawer of bill of exchange, maker
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
concerning Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds ; (3) shall assess credit risk of deposit taker
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be
or such business investment. 2. To acquire assets or invest in a business unrelated to the current one. 3. To repay a loan or debt from issuance of debt securities. - In case of repaying debts to
Laundering Act B.E. 2542 (1999) and the SEC Office’s issuance of the Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures
shall be deemed to be the formation of a limited company or of a public limited company, as the case may be. The application for a license, application for an approval, the issuance of a license, and the
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising