and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
; (2) to supervise the special purpose juristic persons to ensure their compliance with this Royal Enactment; (3) to prescribe types of assets and securities which may be approved for securitization and
Emergency decree. (1) to formulate policies concerning securitization; (2) to supervise the special purpose juristic persons to ensure their compliance with this Emergency Decree; Amended by the Act Amending
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, the securities company shall collect all relevant data and notify the SEC Office within seven days
prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, the securities company shall collect all relevant data and notify the SEC Office within seven days
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
to collect, use or disclose personal information on the legal basis of public interest in accordance with Section 24(4), Paragraph 1(2) of Section 25, and Section 27 of the Personal Data Protection Act