Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies; Chairman, Association of Investment
approval for investor contacts enclosed herewith. Please be informed and act accordingly. Yours faithfully, -Signature- (Mr. Thirachai Phuvanatnaranubala) Secretary-General Investment Adviser Supervision
) Secretary-General Investment Adviser Supervision Department Tel: 0-2263-6071 Fax: 0-2263-6332 Encl: Guidelines for renewal of approval for investor contacts Cc: Chairman, Association of Securities Companies
flexibility in business operation as well as greater competitiveness, and in line with the trend towards consolidated supervision of financial institutions of the Bank of Thailand.
. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
, having information and research for consideration would facilitate the implementation of SEC’s policies on development and supervision of the capital market to be more precise and reach the result as
Objectives of the Supervision of Securities Clearing Houses and Central Securities Depositories Clause 2 A securities clearing and settlement system is a fundamental system which has connection to the
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
Act (No.4) B.E. 2551 (2008) hereby issues the following regulations; Clause 1. In this Notification, (1) “securities company” means any company licensed to undertake securities business; (2) “executive