6. Notification of the Office of the Securities and Exchange Commission SorThor. 7/2557 Rules on Appointing Independent Director of an Intermediary 03/06/2014 01/07/2014 7. Notification of the
Intermediary 03/06/2014 01/07/2014 7. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of
. 68/2558 Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification
Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary 13/08/2015 16/09/2015 Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557
firm to perform duty as local intermediary in Thailand ( issued by Qualifying CIS Operator ) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the Qualifying CIS
of a brokerage firm to perform duty as local intermediary in Thailand (issued by Qualifying CIS Operator) [ ] 6. Evidence on the appointment of a local representative in Thailand as the agent of the
- 3210 of 3,262 results Sort by: Relevance Date (Newest) Date (Oldest) 6324se.pdf entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client, an intermediary shall
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 3/2555 Re: Granting of Approval for Intermediary Personnel as Investment Analyst and Investment Consultant dated 18 January 2012 and Clause
, the SEC allows issuer and intermediary to offer for sale of complex or high risk financial instruments to AI. However, certain products permissible for AI are allowed to offer to retail investors