association relating to securities businesses with the objectives of promoting the operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so
) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
the last day of serving the previous audit firm. 6. Termination of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the
of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the qualifications, or approval is revoked or suspended for the remaining
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
company may maintain the class. If the investment units in that class are subsequently on offer, the calculation of the offering price shall be based on the NAVs of the mutual fund. Authority of the SEC
implement a system that separates proceeds from the PVD into two parts as contributions and non-contributions. (3) Maintain information of each unitholder about age, duration of the membership or of being a