dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
Derivatives Business (No. 3) 11/05/2011 16/05/2011 5. Notification of the Securities and Exchange Commission Kor Khor. 10/2547 Registration of Derivatives Business Operator In the Category of
securities, the Notification of the Capital Market Supervisory Board regarding establishment and management of collective investment schemes and Sections 59 of the Trust for Transactions in Capital Market Act
__________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3
Section 49 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: (1)3 “derivatives broker” means a person
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a
hereby issues the guidelines for application and approval for appointment of person to be director or manager of a securities company as follows: Clause 1 The Notification of the Office of the Securities