shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
include any juristic person established by a specific law with an objective to undertake businesses; Chapter 1 Appointment of Property Fund Manager ______________________ Clause 3. In appointing property
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
business established under Thai or foreign law and possessing all of the following characteristics: (1) having the objective of joint investment among at least two accredited investors; (2) assigning any
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
” means association related to securities business authorized from the Office to establish and register with its objective to support and develop securities business in the category of investment management
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
, an intermediary shall comply with the outsourcing rules in this Chapter. In this regard, the outsourcing shall be based on objective reasons and shall not have a result as if the intermediary does not
) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of