the control and proper operation of the business. Division 3 Compulsory Conditions Clause 14 An intermediary shall notify the details on the scope of function outsourced to a service provider under
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “intermediary” means an intermediary engaging in the business of investment advisory service or derivatives advisory service which
Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30, Clause 37
Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
shall be enunciated at the level and speed which are not different from general enunciation of such advertising. Clause 11 This Notification shall come into force as from 1 September 2014. Notified this
_____________ By virtue of Section 14 (2) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The following Notifications