related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and
to buy the leased properties, except the penalty from premature termination; 3. other particulars as stipulated by the Notification of the Office of the Securities and Exchange Commission; (b) other
maturity date without the condition to buy leased properties, except the penalty; 3. other particulars as stipulated by the Notification of the SEC Office; (b) other contingent liabilities of securities
or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties, leasehold rights to immovable
) มาตรการ/เครื่องมือที่จะช่วยในการลดความเสี่ยง · ในกรณีที่จำเป็นจะมีมาตรการ/เครื่องมือที่ใช้ช่วยลดความเสี่ยงได้อย่างไร เช่น netting agreement หรือ credit enhancement ต่าง ๆ เช่น การจัดให้มีหลักประกัน หรือการ
of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to
receipt of administrative fines imposed and fees charged under this Act. All fines and fees received under subsection (2) shall be properties of the SEC Office. SECTION 10 The SEC Office shall have the duty