user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
that employment. [M] For the consideration that if controlling the privilege user adequate strictly, the Office shall take the following factor for consideration in generally: ▪ Given approval by the
consultation relating to the investment to its client , the intermediary shall comply with the following rules: (1) [i] arrange a person who have obtained an approval from the SEC Office as prescribed in Clause
intermediary wishes to analyze and provide consultation relating to the investment to its client, the intermediary shall comply with the following rules: (1) [i] arrange a person who have obtained an approval
hereby issues the following regulations: Clause 1 . The Notification of the Securities and Exchange Commission No. SorThor/Khor. 5/2547 Re: Form of Applications for Registration to be a Derivatives
hereby issues the following regulations: Clause 1. The Notification of the Securities and Exchange Commission No. SorThor/Khor. 5/2547 Re: Form of Applications for Registration to be a Derivatives Business
Supervisory Board pursuant to Section 6 of the Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations; Clause 1. In this Notification, (1) “derivatives business operator” means any
): .................................................................................................................................................................................... Wish to apply for Company Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a 30-day expiry from the SEC Office’s approval date
) ………………………………………………………………………………………………………………………………………………….… ………………………………………………………………………………………………………………………………………………….… Wish to express an intention to apply for an SEC Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a seven-day expiry from the SEC