management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
cloud provider’s services in compliance with Clause 9(2)(c), the intermediary should take additional steps as follows:| (1) monitor the service performance and IT security of the cloud provider to verify
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
marketing policies of the major products or services during the prior year by way of, for example, general comparison with competitors (numerical data not required), customers’ characteristics, target groups
notified the securities company in writing, the securities company shall undertake any steps to relieve such executive from being the executive of the securities company within necessary and justified period
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which
characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of
qualifications under Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business except the licensee of derivatives business license
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...