) Notification of the Capital Market Supervisory Board No. Tor Thor 39/2555 Re: Providing Compliance Unit of Intermediary dated 14 August 2012; (3) Notification of the Office of the Securities and Exchange
. She deceived the client to transfer cash into his account and used the cash for her own securities trading. {A}'s actions were deemed dishonest, fraud, wrongful use of the clients? assets and
Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have prohibited characteristics
Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity management that should be applied by each intermediary and for determining a
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS
appointment of a securities company to perform duty as local intermediary in Thailand (issued by Hong Kong Covered Management Company) [ ] 4. Evidence on the appointment of a local representative in Thailand as