Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
intermediary has executed such trading for clients. Chapter 6 Providing Services relating to Risky or Complex Capital Market Products _______________________ Clause 28 In providing services relating to risky or
: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered [such
presented research paper on ?Saving for Retirement?. The researchers pointed out that saving and investment in risky assets at a young age is the key success factor of sufficient retirement savings while
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the