Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Redeeming Units of Foreign Collective Investment Scheme in case of Institutional or High Net Worth Investor dated 12 August 2012 shall be repealed. Clause 2 In this Notification: The terms “institutional
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following rules: (1) in case of domestic or oversea branch office, the
Qualification and Prohibited Characteristics of Directors and Executives of Derivatives Intermediary, as the case may be. Clause 5 An intermediary may establish a branch office by complying with the following
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
exchange, as the case may be, which are in a list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF. “exchanging in-kind” means entering into the