Marketing Representatives of Private Funds ___________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551
personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and exchange 4 , including regulations issued by virtue of such law in the part of
Securities and Exchange Commission concerning Maintaining Net Capital. 5 (2) having a system for handling client’s complaints and dispute resolution efficiently, for instance the compliance according to the
paragraph relating to computer or electronic system: (1) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information
_____________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and Section 92 of the Securities and Exchange Act
under the Notification of the Office of the Securities and Exchange Commission governing provisions relating to working system, securities borrowing and lending contract, and collateral for securities
Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008
Privacy Policy Personal Data Protection Policy for Trading in Secondary Market The Office of the Securities and Exchange Commission (SEC Office) 0. Scope of this Policy This Personal Data
. In particular, the account opening and KYC system is inadequate, resulting in the company’s failure to know its clients and verify the true identity of the clients or beneficial owners. These