; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
In the execution of duties of a competent official, relevant persons shall provide reasonable assistance. SECTION 65 In the execution of his duties, a competent official shall present his
function under Clause 8 to the following third party without submitting an application for obtaining the approval under Clause 12: (1) a financial institution, or the intermediary ’s affiliated company whose
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
rules, regulations, notifications, orders, or directions under this Act; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the
(MMOU); (b) a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office concerning mutual assistance at a level not less than as
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
appropriate in terms of content and format and to allow securities companies to make advertisement related to estimated return and auto redemption rate in compliance with the rules prescribed without obtaining
been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial