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 financial
appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this Notification; (4
; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private fund manager to manager in the case
postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider
partner or a shareholder, except: (a) being an advisor or a director of a securities company who has no power of management in the securities company; (b) in the case where the exemption has been granted by
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
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
requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied
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
the Public (No.2) dated 7 September 1992. Clause 2 In this Notification and the forms attached to this Notifications: (1) (a) in case of reporting the results of selling securities which is not debt