company licensed to undertake derivatives business; (2) “executive” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to
scheme” means collective investment scheme established under foreign law; “unit” means securities in the category of shares of company (investment company) or securities in the category of certificates of
dated 17 July 2006, management company shall calculate the limits for each investment policy instead of for each fund. Clause 5 . This Notification shall come into force as from 15 February 2008. Notified
dated 17 July 2006, management company shall calculate the limits for each investment policy instead of for each fund. Clause 5. This Notification shall come into force as from 15 February 2008. Notified
investment policies, management company shall prepare such information of each investment policy.” Clause 3. The following provision shall be added as Clause 51/1 of the Notification of the Office of the
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and Section 98(3) of the
e-service Online Submission Bond Dealer and Underwriter >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 3/2548
e-service Online Submission See canceled document Securities Brokerage Business >> Short Sale Provisions (section 98(5)) Type Title Section See Document Status Notified Date Effective Date 1. Act