The Approval of Personnel in the Capital Market Business
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
respect to Derivatives __________________ Clause 37 To ensure that steps or procedures concerning computer systems relating to derivatives clearing and settlement services are effective, each derivatives
17. Following the SEC Office’s order to revoke an approval, the securities company or the derivatives business operator shall undertake any steps to remove such director, manager or person with power
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct dated 21 June 2005 as amended by the
) 25/2550 Re: Guidelines for Renewal of Approval for Investor Contacts In continuation of the Notification of the SEC Office No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of
, Conditions and Procedures for the Establishment and Management of Infrastructure Funds; “company” means a limited company or a public limited company; 2 “paid-up capital” means the total value of units fully