derivatives broker would be exempted from complying with clause 3 and clause 4 since such position has been transferred. Clause 8 All notifications of the SEC Office, directives and circulars issued under or
delivering derivatives broker would be exempted from complying with clause 3 and clause 4 since such position has been transferred. Clause 8 All notifications of the SEC Office, directives and circulars issued
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
established, the operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head
prepared, for the operations of the branch office to be established, the operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by
amended) (the “Acquisition and Disposition Notifications”). The transaction size of the Transaction is equivalent to 31.108 percent as calculated based on the total value of consideration criteria, which
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
SEC is proposing to codify and revise notifications prescribing rules on the operating systems and service provision of securities companies and derivatives business operators to be more
that the management company shall comply with the commitment, the mutual fund scheme, the Securities and Exchange Act B.E. 2535 (1992) as well as the Notifications, Rules and Orders issued by virtue of