approval or register from home regulator. “ASEAN country” means any ASEAN country which is both a member of the International Organization of Securities Commissions (IOSCO) and a signatory A to the
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means
clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “SET” means the Stock Exchange of Thailand; “unit” means an investment unit of a mutual fund, certificate
with the approval of the Office; (4) Be a member of the association and shall refrain from violating relevant professional code of conduct and standards as specified by the association, in any aspects
house requires its member to secure the performance of derivatives trading, and the calculation of the margin value shall be complied with the rules prescribed by the derivatives clearing house . Clause 4
derivatives broker requires a client to deposit as the margin under sub clause (2) and (4) of the first paragraph shall be the same category as those the derivatives clearing house requires its member to secure