companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that facilitate problem
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
. (3) Investment policy and investment restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
); “Thai Stock Exchange” means the Stock Exchange of Thailand; “commercial bank” means any commercial bank under the law governing financial institution business; “depositary agreement” means any agreement
1 -Translation- No. ECF2 046/2562 24 December 2019 Subject: Report of Resolution of Board of Directors' Meeting Re: (1) Disposal of Rights under Loan Agreement, Pledge Agreement and Memorandum of
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors
include a person having entered into an agreement for full or partial power of management. Clause 2 The operation under a regulatory sandbox of a person who is approved by the SEC Office under this
date in such a manner that can be promptly retrieved and inspected by the SEC Office. 3In arranging the giving of advice by a foreign securities business operator, a securities company licensed to