Conduct Fees Related Circular Letter Securities Brokerage Business Business Operation Rules Securities Underwriter Business Business Operation Rules Securities Dealer Business Business Operation Rules
primarily comply with its rules or the rules of the securities regulator of such recognized country (home regulators). Clause 7 In case of any of the following circumstances, the Stock Exchange of Thailand
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
investment scheme”2 means the unit of a foreign collective investment scheme, which may be offered for sale in Thailand under the Notification of the Capital Market Supervisory Board concerning Rules on
the Office of the Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section