Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
. Clause 4 In providing services to clients regarding investment in capital market products denominated in foreign currency , the intermediary shall comply with not only the rules prescribed in the
services to clients regarding investment in capital market products denominated in foreign currency, the intermediary shall comply with not only the rules prescribed in the Notification on Standard of
in general greater management participation in SGAH to give more support and necessary controls in the weak areas with the increase in the Company’s direct and indirect equity holding in SGAH from
September 2013 (“Notification No. Tor Thor. 35/2556”) and the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information
September 2013 (“ Notification No. Tor Thor. 35/2556 ”) and the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
Rules on Exemption of Trust Certificates Issued by Private Equity Trust from the Provisions regarding Offering for Sale of Securities to Public
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds