. TorThor. 88/2552 Re: Business Days and Official Holidays of Derivatives Business Operators dated 3 August 2009 , the Office of the Securities and Exchange Commission hereby specifies the official holidays

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

; whereas Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 specifies the duty of the Securities and Exchange Commission as the Capital Market Supervisory Board, the SEC hence sets out the

Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018 specifies that [ in case of outsourcing to a

arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms

Liabilities for Resulting Loss When the Client establishes certain positions on derivatives, i.e. long futures, short futures and short options, he/she is obliged to perform its obligations under the contract

intermediary only; (3) investment in the units of a fixed-income mutual fund whose investment scheme specifies a single offer only and fixed maturity may be made, provided that such units shall be held until

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

in (1)(b), the estimated return mentioned in (3) shall not be presented for longer than three accounting periods. If such property fund invests in lease hold right, it shall clearly specifies that the