of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or
of clients’ assets. In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice guidelines. The rules or
relation to the undertaking of derivatives businesses without license, the offering of listed companies' secur i t ies and share pr ice manipulation. The SEC Help Center can be reached by telephone at (66
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
undertaking from securities business The SEC has power to determine the undertaking of business in any manner is not a securities business under the Securities and Exchange Act B.E. 2535 (“the SEA”). 1.2
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of
derivatives business shall have paid-up registered capital of no less than the following amounts: (1) one hundred million baht for undertaking of derivatives business, which is not the undertaking of
. KorDor. 15/2553 Re: Determination of Fees for Undertaking Business of Licensed Derivatives Exchange By virtue of Section 9(2) of the Derivatives Act B.E. 2546 (2003) which contain certain provisions