the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
plan with the public. 6.2 Recording of the details of the incident, cause of problem and the resolving measures. 3.3.8 Proxy Voting Objective A management company shall have a system on proxy voting to
business In case the company invests in a company which is having problem relating to financial position and outcome of business operation, such as a financial institution which was closed down or controlled
facilitate problem solving or develop services in the Thai capital market or benefit Thai investors or the Thai capital market; (4) having readiness for participating in the regulatory sandbox in the following
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management company is a private
: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated
within 30 December 2018; (2) a company which is newly established to apply for the agricultural derivatives business license , except the companies under (1). Clause 4 An applicant shall be granted the