. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the
, conduct of business, and cease of doing business. The proposed will allow the over-the-counter center to provide exchange service or securities and digital token having substance like securities. In
of protection. Sales conduct of intermediaries will also be revised to ensure that selling of products is suitable for investors? risk-taking capability. 1. Offering of unrated bonds and high yield
(7) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC, therefore, suspends Meaunchit from the status of approved
เป็นเกณฑ์ conduct ที่กำหนดให้ บลจ. ต้องปฏิบัติ หาก บลจ. ไม่ดำเนินการติดตามดูแลด้วยตนเอง บลจ. สามารถมอบหมายงานดังกล่าวให้บุคคลภายนอกเป็นผู้รับดำเนินการได้ ตามหลักเกณฑ์เกี่ยวกับการมอบหมายให้บุคคลอื่นเป็น
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
securities business | - |- Registered Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct
Capital (Section 96) | - |- Revocation of License (Section 147) | - |- Decrease in Registered Capital (Section 98(1)) | - |- Fees (Section 14, 19) |- Business Conduct | - |- Securities Dealing (Section 114