(5) Securities service agencies provided services for a securities firm.

(4) Deposit banks, designated commercial banks, asset management agencies, security exchanges, securities registration and clearing agencies of a securities firm

The agency appointed by securities regulatory agency under the State Council should perform supervision and administration roles and responsibilities within the scope of authorization from the securities regulatory agency under the State Council.

While the securities regulatory agency under the State Council approving setting up application of securities firm and its branch, it should consider the needs of development as well as fair competition of the securities market.

After a securities firm acquiring business license for the securities or domestic branch issued or changed by the corporate registration agency, it should apply to the securities regulatory agency under the State Council for issuing or changing license for securities business.

If the securities firm closes all securities business, disbands, goes bankruptcy or revokes domestic branch, it should publicize in newspaper appointed by the securities regulatory agency under the State Council and submit securities business license to the securities regulatory agency under the State Council for deregistration based on regulation.

(1) Where a securities firm or its inbound branch engages in businesses out of scope approved by the securities regulatory agency under the State Council

Article 18 The securities firm should establish and complete organization structure, and clearly state roles and responsibilities of decision making, execution or supervision agencies according to the Company Law and the Securities Law.

Article 22 If a securities firm sets up an agency that performs business management rights of the securities firm, it should clearly states it name, constitution, roles, responsibilities and rule of procedure in the company regulation.

If the listed company and the dealing party retain securities service organs, they shall sign confidentiality agreement with the securities service organs immediately.

The securities business license should be written with business scope of such securities firm or its domestic branch.

Without securities business license, the securities firm and its domestic branch shall not run securities business.

The securities regulatory agency under the State Council can enquire the bank accounts of a securities firm and enterprises controlled or actually controlled by the securities firm with approval of a person responsible of the securities regulatory agency under the State Council with a view to make a thorough investigation of business and financial status of the securities firm.

5 Other items required by the securities regulatory agency under the State Council to prescribe in company regulation.

Article 16 After the listed company signs the contract with the securities service organ, it shall not change the securities service organ without a legitimate reason.

Where the securities firm does not remove him her from his her post, the securities regulatory agency under the State Council shall order it to do.

In such cases, the signature of the notary or commissioner merely identifies the notary or commissioner, and associates the notary or commissioner with the contents of the document, but does not indicate the approval by the notary or commissioner of the information contained in the document.

Article 13 If a securities firm changes registered capital, business scope, company form or key terms in company regulation, merger, divide, set up, acquire or revoke domestic branch, relocate domestic branch, set up, acquire, hold equity of domestic securities agency, it should get approval from the securities regulatory agency under the State Council.

(3) Where a securities firm, an asset management agency, a securities registration and clearing agency use trading settlement funds, trust funds and funds and securities in secured accounts of clients in violation of provisions

A reporting mechanism about securities firms relating status between securities regulatory agency under the State Council and local people's government should be established.

No business without approval is allowed.

While firms face the challenge of establishing an EMS with a view to seeking third party certification, local certification bodies, particularly those in developing countries, have to equip themselves in order to compete with the many foreign certification bodies that operate in their countries.

A securities firm mentioned in item 1 of this article refers to an unincorporated entity with business operation under the securities firm such as branch company and securities business outlet.

Other shareholders of securities firms should comply with the related requirements of the securities regulatory agency under the State Council.

Article 17 With approval document of the securities regulatory agency under the State Council, the corporate registration agency should handle setting up, changing and deregistration of the securities firm as well as its branch according to law.

2 Organization, forming method, roles and responsibilities, rule of procedure of the securities firm

Article 8 Setting up a securities firm requires meeting the conditions prescribed in the Company Law, the Securities Law as well as this Regulation, and approval from securities regulatory agency under the State Council.

Article 6 The securities regulatory agency under the State Council should perform supervision and administration roles and responsibilities of securities firm within the law.

Provided that it is necessary to prove the literacy of the party involved, he she shall tender his her academic certificate, degree certificate or certificate issued by the school or relevant certification authority or apply for a notarization according to the law.

Article 7 The securities regulatory agency under the State Council, the People's Bank of China and other financial regulatory authorities under the State Council should establish information sharing mechanism of supervision and administration over securities firms.

(6) To suspend businesses, partly or wholly, of the securities firm or its inbound branches and order it to cancel its inbound branches within a certain period.

Specific measures shall be formulated by the securities regulatory agency under the State Council.

Public agencies

Public 1,000

The funds of an insurance company shall not be applied to the establishment of any entity to trade bonds or securities or investment in enterprises.

Article 41 A securities firm engaged in securities business for its own account is limited to trading of legally issued stocks, bonds, warrants, securities investment funds or other securities recognized by the securities regulatory agency under the State Council.

Proliferation of certification bodies and the impact on the quality of certification

According to Section 3 of the Anti Money Laundering Act B.E. 2542 (1999) and Ministerial Regulation No. 1 issued under the Anti Money Laundering Act, the definition of financial institutions includes banks, finance companies, securities companies, credit fonciers, insurance and assurance companies, savings cooperatives, securitization companies, money changers and asset management companies.

Article 14 Any unit or individual in any of the following circumstances shall inform the securities firm in advance and the securities firm shall apply to the securities regulatory agency under the State Council for approval

The list of the designated commercial banks shall be determined and publicly announced by the securities regulatory agency under the State Council jointly with the banking supervision and management organs of the State Council.

If yes, does it use private or public agencies?

For widespread confidence in ISO 14001 certification, each country will need to have a rigorous and reliable mechanism to support accreditation of certification bodies and provide assurance that certification is done rigorously and fairly.

The Habitat Programme also establishes coordination bodies and mechanisms to work with other programmes of the Ministry of Social Development, appropriate local bodies and with offices and agencies of the Federal Public Administration, in order to ensure that the activities undertaken are complementary.

Pilot schemes provide opportunities for mutual learning by the local certification bodies and firms in interpreting the requirements of ISO 14001.

Ensure that public educational institutions are open to non citizens and children of undocumented immigrants residing in the territory of a State party