Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application

wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause

Technology System dated 12 September 2016 (“ Notification No. Sor Thor. 37/2559 ”) require that intermediaries establish policies, measures and operating systems for governance of technology and information

Section 96 Securities and Exchange Act B.E. 2535 Section 96. The SEC may or may not require a securities company to have a paid-up registered capital in an amount specified for operation of any

Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is

มีนโยบายการลงทุนใน Real Estate Investment Trusts และการลงทุนโดยตรง ใน Real Estate Investment Trusts (REITs) ด้วยมีบริษัทจัดการบางรายขอให้กองทุนรวมลงทุนในหน่วยลงทุนของกองทุนรวม ต่างประเทศที่มีนโยบายการ

clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the

operates project-based business such as a real estate development business or a power plant business, clarify the characteristics of each significant project, e.g., the project location, the characteristics

appearing in the documents and evidence used for opening of the account, including identification of the customer’s identity, source of funds used for derivatives trading and the real beneficiary of the