restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546
. KorThor 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor. By virtue of section 3 and section 9 under the Derivatives Act, B.E. 2546 (2003), the SEC hereby
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
intends to extend the due date by rolling over or extend the period of the deposit, such asset may be classified as a long-term deposit at a financial institution or an investment (as the case may be
institutional investor under Section 3 and the Notification of the Securities and Exchange Commission concerning Additional Determination of Type of Juristic Person Classified as Institutional Investors . Chapter
Securities and Exchange Commission concerning Determination of Additional Types of Juristic Person Classified as Institutional Investor . Chapter 1 Registration _____________ Division 1 Types of Juristic
. Clause 17 Information shall be classified in terms of sensitivity and other IT assets (i.e., systems asset and equipment asset) shall be classified in terms of criticality in order that such IT assets are