financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
. · Backup and IT Contingency Plan. · Computer Operation. · IT Outsourcing. 3. Compliance of policy. · Announcing and communicating to concerned person thoroughly for the purpose of compliance such as training
custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
broadening cross-border investment channels and product choices for investors in both markets. This cooperation framework opens up new business opportunities for Thai AMCs by allowing them to expand investor
Exchange Commission Remark : The reason for issuing this Notification is that the securities company has flexibility in operating its business, able to increase its income and expand its customer, and to
has flexibility in operating its business, able to increase its income and expand its customer to prepared for the upcoming competition after the liberalization of derivatives business license in the
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
Commission governing rules, conditions and procedures for approval for private fund manager and private fund management of private fund manager; “Training institute” means Thailand Securities Institute or any
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or