reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________
Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business, including
registration under Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business
No. KK ELCID 2563/001 October 6, 2020 Subject: Management Discussion and Analysis for the second quarter ended June 30, 2020 To: President The Stock Exchange of Thailand K&K Superstore Southern
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securities business in the following categories: (1) mutual fund management; (2) private fund management; or (3) brokerage, dealing or underwriting, excluding brokerage, dealing or underwriting limited to debt
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) encumbering the assets. Clause 2 In this Notification, the terms “management company” “infrastructure mutual fund” “infrastructure asset” “greenfield project” and “brownfield project” shall have the same
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or