representative ___________________ Clause 11 The agreement for appointing a representative shall be made in writing and shall have the following provisions: (1) stipulating rights and duties of a management
, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of
or not investment in other assets is also made, which management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of investment
Notification come into force. Clause 4. Any reference made in any notifications to the Notification of the Securities and Exchange Commission No. KorNor. 57/2543 Re: Rules, Conditions, and Procedures for
under the first paragraph is made in foreign securities exchange, a securities company shall be exempted from complying with Clause 10, Clause 11, Clause 12, Clause 13 and Clause of the Notification of
Securities and Exchange Act B.E. 2535 (1992) prescribes that an appointment of person to be director or manager of a securities company shall be made only with an approval from the SEC Office, the SEC Office
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on
disclosing personal information, information on trading of derivatives, or a client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the