. 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

; 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

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

clearly specifies that the estimated return does not include unitholders’ capital; (5) the details of the fund’s investment under (1)(a) shall be provided with at least the following particulars, which are

trading for the client on time priority basis unless the order of the client clearly specifies the condition of trading otherwise. The securities company shall give priority to the benefit of the client