, the intermediary shall comply with Clause 11 and Clause 23(4) of this Notification only. Clause 4 The rules in detail under this Notification are prescribed to ensure that intermediaries comply with the
applicant is a juristic person under Clause 3(1), the consideration of the qualifications regarding the registered capital shall comply with the following criteria: (1) having a minimum paid-up capital of
where an applicant is a juristic person under Clause 3(1), the consideration of the qualifications regarding the registered capital shall comply with the following criteria: (1) having a minimum paid-up
Exchange Commission Remark: The reason for issuing this Notification is to ensure that the procedures for settlement of disputes by arbitration are fair and comply with the rules specified by the Office.
management company shall comply with the following rules: (1) a person to be appointed shall be a person whose name is on the register of persons qualified to be fund manager. In this regard, the management
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
derivatives broker’s board of directors, and comply with the criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a