clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
Exchange Act B.E. 2535 (1992) (SEA). 2 Local intermediary means an entity licensed to undertake securities business in the category of securities brokerage, including a securities company licensed to
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
Intermediary 06/09/2013 01/04/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 4. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating
Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09
Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary