registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
, dated 31 August 2008, and the Notification of the Board of Governors of the Stock Exchange of Thailand Re: Disclosure of Information and Required Practice for Listed Companies relating to Acquisition or
application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines
responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets. 3 Clause 6 A securities company shall establish rules or practice guidelines for custody of
the meeting and have the right to vote, an approval from the Office of the Securities and Exchange Commission is required in accordance with the relevant notification of the Capital Market Supervisory
-based execution to simplify the overall procedure, (3) the clearer determination of the roles and responsibilities of company boards of directors and financial advisors to better respond to real practice