2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any company licensed to undertake securities
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
; (5) keep evidence of the performance as specified in subclauses (1), (2), (3) and (4) in the manner of prompt demonstration to the SEC Office as requested. Chapter 7 Acceptance of Trading Orders of
- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...