UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
. "securities dealing" means a purchase, sale of exchange, outside the Securities Exchange or an over-the-counter centre, of securities, for one's own account in the normal course of business. "investment
Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours. Clause 7. The securities company shall publicly announce its opening hours and
-current assets presented at Baht 1927.0 million, decreased by 0.2% from outside warehouse and B2B cash deposit received. As of March 31, 2019, total liabilities presented at Baht 1,332.6 million, decreased
. • Purchase, development, allocation and distribution of commercial land to the company and the general both inside and outside the industrial estate. • Industrial and commercial projects for sale include
)) | - |- Selling Agents (Section 100) |- Internal operation of Securities Companies | - |- Proprietary Investment (Section 98(7)) | - |- Accept purchasing or selling orders outside head office or branch