” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person appointed by a private fund
Fund Management Company” means a securities company licensed to undertake securities business in the category of private fund management; “Marketing Representative of Private Funds” means a person
derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the
financial statements for Q1/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The public prosecutor issued a prosecution order against the accused
responsible person to be Thai nationality; (3) having compliance committee in order to consider facts in respect of violation of standards and ethics regarding appraisal profession. In this regard, at least
comply with the specified rules will be subject to the SEC?s order to cease the advertising or sales promotion, rectify the information in such advertisement or sales promotion. The SEC may also order such
or for another person, called a trustee, with trust and confidence in order that the trustee shall manage such https https://secsearch.sec.or.th/?search=electronic+property+OR+%22electronic+property%22
to inform investor of the hours and days on which trading order will not be accepted; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board concerning
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services