from clients to accommodate the SEC’s request. 4. I well recognize and understand the requirements in the notification of the SEC regarding to the approval of foreign auditors and I am willing to comply
Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018, hereby issues guidelines for considering to recognize the supervisory measures on investment management of
allocation, the intermediary shall make any arrangement to ensure that the clients recognize the risks of such investment or transactions. Clause 36 For the purpose of considering ability of a client to
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading
price of investment units of an ETF fund in an organized market to proximately reflect the value of such investment units which is calculated from the net asset value of the fund, by trading investment
ทางการเงินแฝง (structured note)ให้กับผู้ลงทุน รายใหญ่ จะต้องทำผ่านผู้ติดต่อผู้ลงทุนที่ขึ้นทะเบียนกับสำนักงานซึ่งมีหน้าที่ตรวจสอบคุณสมบัติผู้ลงทุนตามหลัก know your clients ประเด็นอภิปรายและข้อสรุป ผู้รับฟัง
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as