over-the-counter center is incorrect. The management company shall arrange to maintain a copy of such report under (1) hereof at its office for inspection by the Office. (2) Rectify the incorrect unit
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds, dated 2 May 2000, shall be repealed. Clause 2 . In this Notification: “Management company” means a
) a finance company; (c) a securities company; (d) a securities depository center ; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake
to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the
and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
employee who can provide such information to the client at the office of the securities company where the client comes to use the services; (c) arrange a service center for providing investment information
Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the