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
total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
statement requiring derivatives broker to be responsible for such assets in full amount. Clause 3 A derivatives broker shall not appoint any person as its agent to undertake custody of assets of clients
securities and exchange and relevant rules issued thereunder; (2) requiring the representative to act in compliance with the rules of selling or redeeming investment units or client solicitation , and to
securities and exchange and relevant rules issued thereunder; (2) requiring the representative to act in compliance with the rules of selling or redeeming investment units or client solicitation , and to
of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market
the category of requiring the issuer to distribute the fact sheet, the securities underwriter shall circulate such document with the same material information of the registration statement in the form
shall be a statement requiring the securities company be responsible for such assets in full amount. Clause 8 A securities company shall not appoint any person as its agent to undertake custody of clients
the fund by the resolution of the general meeting; (3) occurrence of any event requiring a dissolution as prescribed by the fund’s articles; or (4)2 dissolution of the fund by the order of the registrar