Office of the Securities and 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
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 of the Office of the Securities
mobile devices are the property of the employees, the intermediary should consider adopting the guidelines in Items (1) - (5) at a minimum, and establish control measures that are comparable to or as a
itself; (3) bearing a responsibility for clearing and https://publish.sec.or.th/nrs/4390pe.doc 6121pe.doc to receive assets proven by evidence to be the client’s assets under possession of an intermediary
by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the https
of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe.doc The Office of the Securities and Exchange Commission , exchange traded fund