Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
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e-service Online Submission See canceled document Marketing >> Code of Conduct Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act 2535 113 12
standards of conduct shall be Baht 250,000 per application. Application for renewal of approval under the first paragraph shall be Baht 250,000 per application.” Clause 3. This Notification shall come into
total units sold, a trustee shall not conduct or allow to execute the transaction arising conflict of interest with REIT. Clause 4 This Notification shall come into force as from 1 September 2014
://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=I&PID=0866&PYR=2556 SEC announces the Digital Asset Business Law has become effective Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft