appropriate for the investment of the general investors and having the potential to generate income to the fund continuously; 2. being supported by documents evidencing the ownership or rights or agreements
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods pursuant to (b). (4) deposit agreements, contracts for the procurement of funds, credit facility contracts or
of money market fund established in accordance with the Notification of the Office of the Securities and Exchange Commission concerning Establishment of Mutual Funds and Execution of Agreements for
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
outsourcing date. Clause 12 5 Subject to Clause 12/1, the derivatives dealer shall take into account the suitability of proposing derivatives to the client. In any case, the types of the clients and the types
to the first paragraph, the Notification of the Office of the Securities and Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds
regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing
interest rate swaps Basis swaps Forward rate agreements Interest rate option purchase สัญญาอื่นๆ ในลักษณะเดียวกัน ในกรณีที่ลูกค้ารายเดียวกันทำสัญญาเกี่ยวกับอัตราแลกเปลี่ยนหรือสัญญาเกี่ยวกับ อัตราดอกเบี้ยทั้ง