Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor. Chapter 1 Registration _____________ Division 1 Types of Juristic Rerson and
following Notifications shall be repealed: (1) The Notification of the Capital Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re: Requirements for Securities Company to Take Action concerning
ประเภท signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์ประเภทหุ้นของบริษัท (investment
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business operator or derivatives business operator
a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business
) B.E. 2551 (2008) stipulates that the prescription of the rules concerning qualifications and other prohibited characteristics of the executives of securities companies shall be the power of the Capital
concerning duty performance of derivatives business operators and the prescription of the persons holding the prescribed positions must obtain an approval from the SEC Office shall be the power of the Capital