Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by 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
mutual reliance and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the major shareholder. If the business structure of the Company or
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
selling within settlement period specified by the clearing house or within performance period specified by counterparty, a securities company shall provide an operating system to support such having
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into