-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which

outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for

under the Notifications of Capital Market Supervisory Board concerning the outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for

the case of compliance with the written approval by the authorised person, including consistently reviewing such privilege. [ M] · For the necessary case that employ the privilege user, there shall be

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

(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...

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

by the Securities and Exchange Act (No. 4) B.E. 2551 (2008) stipulates that no securities companies shall engage in any other business which is not a licensed securities business, except when an