brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border
category of mutual fund management All securities companies licensed to undertake securities business in the category of securities brokerage, securities dealing or undertaking of investment units All mutual
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Form 246; requiring compliance with tender offer requirements when shareholding thresholds are reached; and establishing fiduciary duties of directors and executives to prevent self‑dealing and
ใช้บริการจากบริษัทนายหน้าซึ่งเป็นบุคคลที่เกี่ยวข้องของบริษัทจัดการ 12 ส่วนที่ 6 การควบคุมดูแลการลงทุนเพื่อเป็นทรัพย์สินของพนักงาน (Staff Dealing) 13 ส่วนที่ 7 การดูแลการลงทุนเพื่อเป็นทรัพย์สินของบริษัท
/ FWD LIFE INSURANCE PUBLIC CO.,LTD. PHILLIP LIFE ASSURANCE PUBLIC CO.,LTD. TOKIO MARINE LIFE INSURANCE (THAILAND) PUBLIC CO.,LTD. List of company licensed Securities Dealing (Securities Company) ชื่อย่อ
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a license
borrower in accordance with the rule under Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines
Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines on internal control and risk management