Notification of the Capital Market Supervisory Board No. TorThor. 7/2557 Re: Rules, Conditions and Procedures for Selling, Repurchasing and Redeeming Units of Foreign Collective Investment Scheme
. 41/2555 Re: Rules, Conditions and Procedures for Trading of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth Investor By virtue of Section 16/6 and Section 113 of the
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
. When it appears that any executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of
securities businesses specified in the license within one hundred and eighty days from the date of obtaining the license; (3) the licensee shall maintain the qualifications under Clause 11 and take steps in
Trading Services with respect to Derivatives __________________ Clause 26 To ensure that steps or procedures concerning computer systems relating to trading services with respect to derivatives are
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which