this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business operators which also operate the
=7348 SEC to revise net capital rules applicable to securities companies and derivatives business operators market in general.(3) To specify rules on NC maintenance to be applicable to the business
https://publish.sec.or.th/nrs/8271p.doc แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ ownership (for example, land, building, factory and machinery), and the characteristics of ownership (if applicable). The
)(5) and Section 244/6(3) of the Securities and Exchange Act B.E. 2535 (1992) (SEA) (as applicable), and Section 83 of the Criminal Code, and are subject to penalties under Section 296, Section 296/1
position. Handbook or operating guideline for staff must be prepared and up-to-date. 3. The personnel must perform their duties in accordance with the law and relevant rules and regulations including code of