Exchange Commission. Clause 2. The following provision shall be added as the second paragraph of Clause 44 of the Notification of the Office of the Securities and Exchange Commission, No. SorNor. 28/2549 Re
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.
purpose of the provision in the first paragraph, a beneficial owner of shares includes any beneficial owner of shares prescribed under the fourth paragraph of Section 25; (12) “Ministerial Regulation
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
holds more than ten percent of the total number of shares with voting right of the applicant . For the purpose of the provision in Paragraph 1, a beneficial owner of shares includes any beneficial owner
, or a trustee temporarily suspended from undertaking of trust business or whose approval to undertake trust business revoked or prohibited to engage in a trust instrument. SECTION 17 No provision in a