consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
by finance company or TSFC Securities Limited, or invest in other investment specified in the notification of the SEC Office, with a statement in such bank deposits or promissory notes or investment
. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or TSFC Securities Limited, or
jurisdiction; (2) “units of foreign ETF” means shares of investment company or unit trust issued under foreign ETF; (3) “home exchange” means exchange in foreign jurisdiction where units of the foreign ETF are
of foreign jurisdiction in form of public limited company; (2) Business takeover of foreign ETF under (1). Clause 2 In this Notification: (1) “foreign ETF” means collective investment scheme in
e-service Online Submission Investment Advisory >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission Kor Thor. 25/2560
e-service Online Submission Marketing >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 3/2548 17/01/2005 01/03
e-service Online Submission Private Fund >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission 30/2553
e-service Online Submission Securities Borrowing and Lending >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 9/2540 (Synopsis) 26/06/1997 2