Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
with regard to trading of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) in conjunction with Clause 2 of Ministerial Regulation concerning Granting Approval for Undertaking of
, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, as well as Clause 16(6) of the Ministerial Regulation
firm’s compliance with its system of quality control or for a longer period if required by law or regulation? 3 Does the firm have policies and procedures relate to the access of audit file as well as back
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
(6) of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
Category of Securities Finance By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), in conjunction with Clause 4 of the Ministerial Regulation No. 7 (B.E. 1996) issued under the