law. (2) the intermediary who has maintained capital under other notification concerning the maintenance of capital; (3) the intermediary which has ceased its business according to the notifying letter
the end of any business day. In case the securities company has ceased its derivatives business and already informed the cessation thereof in writing to the SEC Office, such securities company shall
derivatives business operator has ceased the status of the juristic person under Clause 2, the derivatives business registration under this Notification shall be deemed terminated. Clause 7. This Notification
accordance with the Notification of the Office of the Securities and Exchange Commission. Clause 2/1 1 The provision as prescribed in Clause 3 shall not be applicable to a derivatives broker which has ceased
registration type. Division 3 Termination of Registration _____________ Clause 10 In case where registered derivatives business operator has ceased the status of the juristic person under Clause 4, the
responsible for the damage occurring to the financial institution whose license has been revoked, or business has been controlled or operation has been ceased due to the rehabilitation plan was not approved by
nature of investors does not correspond to the scheme as approved by the Office. Once the approval has ceased, the management company shall fairly return payments for subscription for investment units to
join an audit client: (a) if a partner – has the firm ceased significant connections between it and this individual; (b) has work done by the person leaving been reviewed by a more senior audit
damage or must be jointly responsible for the damage occurring to such financial institution whose license has been revoked, or business has been controlled or operation has been ceased due to the status
(Translation) PAGE 20 (Unofficial Translation) The Trust for Transactions in Capital Market Act( B.E. 2550 (2007) ________________ BHUMIBOL ADULYADEJ, REX., Given on the 30th Day of December B.E. 2550; Being the 62nd 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 trust for transactions in the capital market; Whereas this Act contains certain provisions relating to the restriction of rights and l...