on this key step to safeguard the environment and spur sustainable national economic development. • Achievement of this goal is a testament to the strong leadership and commitment of the government and
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
market have sufficient mechanism to allow them to safeguard their interest. Such is the fundamental objectives of the SEC and other Thai authorities who have been actively promoting many measures to
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
long term for the benefit of beneficiaries or clients. The over-arching obligation of every investment institution is to promote and safeguard the interests of beneficiaries or clients. This is often
หมุนเวียน ผู้สอบบัญชีแบบใหม่ได้ โดยหน่วยงานทางการจะต้องก าหนดมาตรการป้องกัน (“safeguard”) ที่จ าเป็นใน สถานการณ์นั้น ดังนั้น เพื่อบรรเทาผลกระทบให้แก่ผู้สอบบัญชีและส านักงานสอบบัญชี ส านักงานจึงเห็นควร ผ่อนผัน
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
of the Securities and Exchange Commission. Clause 2 At least two fifths of the total number of directors of a derivatives exchange shall be persons capable of performing the duty to safeguard the
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept