appointment of an executive of a derivatives business operator, the Office of the Securities and Exchange Commission hereby issues the following guidelines: (Translation) -2- (1) in case where the derivatives
, as a regulated financial institution, is awaiting the clarification of the forthcoming Bank of Thailand’s notification in order to perform in compliance with the mandatory guidelines. Corporate
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
Public Company Limited By virtue of paragraph one and paragraph three of Clause 12 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for
(6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and Management of Funds (No. 4
) in conjunction with Clause 18 (6) as amended by the Notification of the Office of the Securities and Exchange Commission No. KorNor. 1/2550 Re: Rules, Conditions and Procedures for Establishment and
Securities and Exchange Commission concerning rules, conditions and procedures for appointing and performing of duty of fund manager; (2) application for approval of personnel whose name is listed in the
Market Supervisory Board TorNor. 34/2553 Rules, Conditions and Procedures for Liquidation of Mutual Funds (No. 2) 10/08/2010 01/09/2010 5. Notification of Capital Market Supervisory Board TorNor 76
/08/2000 05/09/2000 2. Notification of Capital Market Supervisory Board TorThor. 45/2553 Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Securities Company to