Disqualifications for Management (section 103) |- OTC Securities Dealer (section 114) |- Revocation of License (section 147) |- Others (Securities Business) |- Separation of Securities and Finance Businesses
|- Related Circular Letter IP/FG |- Appoint/Approval/Code of conducts and Standard Practices |- Reporting |- Fees |- Related Circular Letter Others (Securities Business) |- Separation of Securities and
) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective
enables appropriate segregation and protection of client assets overseen by external fund managers. The custodian cannot absolve itself of responsibility by entrusting to a third party all or some of the
10.97 million or 9.53% from the corresponding period of the previous year, mostly from Interest income (financing composition separation from revenue from sales) decreased Baht 22.47 million and profit
separately from revenue from sales (financing component separation) at the amount of Baht 22.47 million and then gradually recognized as revenue for each period until maturity date. 3. Selling and
” means any person whom a registered person https://publish.sec.or.th/nrs/1927pe.doc Translation calculating net asset value of fund or securities-clearing (back-office function) including the segregation
securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for https://publish.sec.or.th/nrs
-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for https://publish.sec.or.th/nrs/3814pe.doc แบบแสดงรายการ
ผู้ประกอบธุรกิจ PF ที่ประสงค์จะท า self-custody และมีระบบ ในการดูแลรักษาทรัพย์สินของลูกค้า (“segregation of asset”)3 มีความยืดหยุ่นในการด าเนินการมากขึ้น และไม่มภีาระเกินความจ าเป็น ส านักงานจึงมีแนวคิด