Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. “registrar” means a person appointed by the Minister to be the Registrar of provident funds. “competent official” means a person appointed by the Minister to execute the duties in accordance with this Act
register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the
less than five consecutive business days; (3) implement the corrective plan or guideline notified to the SEC Office under (2) in order to regain the maintenance of capital in accordance with the
business applying for establishment; (2) a photocopy of the license of the existing trade association; (3) the regulations of the existing trade association certified by the Registrar of Trade Associations
the applicant to certify true copy is required. (10) Photocopy of evidence of your audit firm’s registration with corporate registrar and shareholders’ list. Signatures of the audit firm’s leader and
(management fee) ค่าธรรมเนียมผู้ดูแลผลประโยชน์ (trustee fee) ค่านายทะเบียน (registrar fee) ค่าที่ปรึกษาการลงทุน (advisory fee) ……………………………………………….. ค่าใช้จ่ายอื่น ๆ รวมค่าใช้จ่ายทั้งหมด* * ไม่รวมค่านายหน้าซื้อ
derivatives agent; (3) person licensed to provide services as securities registrar, excluding persons licensed to provide services as securities registrar under the Notification of the Securities and Exchange
) all types of securities business license except the followings: (a) debt securities brokerage; (b) securities borrowing and lending business. (2)2 licenses for providing securities registrar services
custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial