Providing Compliance Unit of an Intermediary
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Year Receive Date Details UNIQUE MINING SERVICES PUBLIC COMPANY LIMITED 2020 30/03/2021 UNIQUE MINING SERVICES PUBLIC COMPANY LIMITED 2019 31/03/2020 UNIQUE MINING SERVICES PUBLIC COMPANY LIMITED 2018 09
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
Period As Of Details UNIQUE MINING SERVICES PUBLIC COMPANY LIMITED 2023 Reviewed Company Q2 30/06/2023 UNIQUE MINING SERVICES PUBLIC COMPANY LIMITED 2023 Reviewed Consolidated Q2 30/06/2023 UNIQUE MINING
Period As Of Details UNIQUE ENGINEERING AND CONSTRUCTION PUBLIC COMPANY LIMITED 2023 Reviewed Consolidated Q2 30/06/2023 UNIQUE ENGINEERING AND CONSTRUCTION PUBLIC COMPANY LIMITED 2023 Reviewed Company Q2
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and