securities company licensed to operate the securities business of securities brokerage, securities dealing or underwriting which is not limited to certain types of securities; (3) a financial institution
UNOFFICIAL TRANSLATION 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 Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
ของคณะกรรมการการลงทุน เป็นต้น 3.2.2 หลักปฏิบัติในการส่งคำสั่งซื้อขาย (1) กำหนดเกณฑ์ในการคัดเลือกบริษัทนายหน้าซื้อขายหลักทรัพย์ เช่น research, market information, best dealing
(“fair dealing”) และมีแนวปฏิบัติในการขาย และให้ค าแนะน าที่สอดคล้องกับร่างประกาศข้างต้น 3. แบบลงนามรับทราบความเสี่ยง 1 ผู้ประกอบธุรกิจในร่างแนวปฏิบัตินี้ หมายถึง ผู้ประกอบธุรกิจทีไ่ด้รับใบอนุญาตประกอบ
of the intermediary in the category of securities dealing,; (4) the appointing those persons for providing services relating to securities as follows: (a) soliciting clients to trade investment units
Market Association, to be investment consultant for providing consultation on debt securities for institutional investors on behalf of the intermediary in the category of securities dealing,; (4)5 those
) arising from risk prevention equipment with directly recognition to the owner’s equity means earning or loss from derivatives dealing subjected to the items recognition condition in the shareholders’ equity
- 25. Retained earning (deficit) arising from risk prevention equipment with directly recognition to the owner’s equity means earning or loss from derivatives dealing subjected to the items recognition
derivatives dealing subjected to the items recognition condition in the shareholders’ equity as prescribed by the accounting principle. 26. Retained earnings (deficit) 26.1 Appropriated 26.1.1 legal reserve