Office of the Securities and Exchange Commission Notification Re: Approval of Auditors of Securities Companies and Finance and Securities Companies No. OrThor/Nor. 7/2541 _____________ Section 106 of the
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the
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
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
under the regulations of the Stock Exchange of Thailand; (8) Being accused or prosecuted under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit
Securities Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
loan agreements entered by commercial banks or finance companies pursuant to the Law on Commercial Banks or the Laws on Finance Business, Securities Business and Credit Foncier Business. (5) derivatives