Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours
SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
committee before the appointment of such custodian. In seeking the consent under the first paragraph, the private fund management company shall explain the connection with the connected person under the first
Exchange Commission. Clause 3. An applicant seeking an approval to act as a mutual fund manager shall have the following qualifications; (1) Being a permanent staff member who is able to work full-time for a
เปิดเผยข้อมูลด้วยตนเอง (self-declared) และพิจารณาขอเอกสารข้อมูลสินทรัพย์อื่น ๆ เพิ่มเติมจากลูกค้าได้ เพื่อตรวจสอบข้อมูลการ self-declared ของลูกค้าเท่าที่สามารถกระทำได้ (best effort) 3.1.2 การจัดทำคำแนะนำ
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
แล้ว และประสงค์จะลงทุนในหลักทรัพย์ดังกล่าว (self-declare) ง. กรณีอื่น ๆ อาจให้ผู้ลงทุนจัดทำ suitability test ด้วยตนเองตามแบบฟอร์มที่แนบไปกับเอกสารการจองซื้อ โดยผู้ลงทุนต้องลงนามรับทราบผลประเมิน
except for reselling or transferring made under the requirements of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without
seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit