compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has qualifications and does not have
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
an intermediary’s service and shall include fund, unitholder or member of the provident fund; “fund” means a mutual fund, private fund and provident fund; “central utility function” means a function
distribution channels is increase that for cover more the customers. Please be informed. Yours Sincerely, Panya Bunyapiwat Chairman
Exchange of Thailand did not cover the securities trading on August 16, 2004. Expectedly, if compilation of information is completed, the investigation result will be proposed to the SEC board meeting on
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
and medium-sized enterprises (SMEs), are having to brace for regulatory changes as well. These include the single-account scheme, taxation of funds transfer for online purchase, and a land and building