Transitional Provisions Clause 40 In this Chapter: “ repealed notification ” means the Notification of the Capital Market Supervisory Board or the Notification of the Office of the Securities and Exchange
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 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 Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
Clause 21, as the case may be, such issued license shall be effective on the date of cancellation of the returned license. Transitional Provisions _____________ Clause 23 Any licensee of derivatives
Clause 18 or Clause 21, as the case may be, such issued license shall be effective on the date of cancellation of the returned license. Transitional Provisions _____________ Clause 23 Any licensee of
] suspend the outsourcing to the service provider. Chapter 3 Transitional Provisions __________________ Clause 21 The operational function outsourced to a service provider in the similar manners as specified
) dated 1 August 2017 (Effective on 1 September 2017). 10 in order to comply with this Notification, or [ii] suspend the outsourcing to the service provider. Chapter 3 Transitional Provisions
the function related to business operation which has been approved by the intermediary’s board of directors to the SEC Office at least once a year. Chapter 4 Transitional Provisions