comply with Clause 8 to Clause 12. In the case where management company shall provide an operating system under paragraph one, such operating system shall have an approval from the Office before investing
perform as following: (1) In the case of close-end fund or private fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to
shall provide an operating system under paragraph one, such operating system shall have an approval from the Office before investing or additional investing in proprietary trading Clause 8. Management
external network by using modem (dial out), it shall given an approval by the authorized person and controlling strictly such as using a call back system, open-close modem controlling, authentication
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
suspend services of derivatives trading to clients, [iv] allow members to close derivatives trading accounts, limit derivatives positions or trading volume, and close out derivatives positions of the
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 22:27 New Product Prospectus / Filing Sales Report Shelf Approval Outstanding Domestic Debt PP Approval Please enter search
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 22:35 New Product Prospectus / Filing Sales Report Shelf Approval Outstanding Domestic Debt PP Approval Please enter search
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 01 April 2022 22:32 New Product Prospectus / Filing Sales Report Shelf Approval Outstanding Domestic Debt PP Approval Please enter search