Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose
Securities ____________________ Clause 16 In this Division, “listed securities” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. 3 The law on derivatives
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and
) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of
records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will result in their https://www.sec.or.th/cgthailand/TH/Documents/Assessment/ICGN
%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents