regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there

Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and

country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true

Gazette, General Issue, Volume 119, Special Section 32 Ngor, dated 4 April 2002.

, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of

Management of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have

), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards

operator shall submit an application form to the SEC together with the supplementing documents and evidences prescribed by the SEC. Clause 6. The SEC shall consider and issue an order relating to the

ลักษณะอย่างใดอย่างหนึ่งดังต่อไปนี้ (ก) ตัวตราสาร หรือผู้ออก หรือผู้รับอาวัล หรือผู้ค้ำประกัน ได้รับ rating ในระดับ investment grade จากสถาบันจัดอันดับความน่าเชื่อถือที่ได้รับการยอมรับจากสำนักงาน (issue

of Finance Chairman of the Securities and Exchange Commission Published in Government Gazette, General Issue, Vol. 117, Special Section 124Ngor, dated 6 December 2000.