business operation. However, using information technology may cause certain risks arising from the operation of the securities company in various respects. Among other things, the SEC Office considers these
regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of
and a deficit, it shall demonstrate such items separately without setting off. /2 In case of the company have various categories of additional paid-in other capital (deficit), namely appraisal surplus
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
management company on behalf of the open-end fund. Clause 6. The management company shall be responsible for various expenses incurred from the incorrect unit price, e.g., expenses in placing an announcement
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
Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives