. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
Financial Services for Market Intermediaries) การมีผลใช้บังคับและบทเฉพาะกาล การแก้ไขดังกล่าวจะมีผลใช้บังคับตั้งแต่วันที่ 1 มกราคม 2560 เป็นต้นไป โดยสัญญา outsource ที่ท าภายหลังวันดังกล่าวจะต้องมีการระบุ
derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies
Intermediaries dated 3 June 2014 ; (2) Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2557 Re: Repeal of Notifications relating to Fund Manager, Property Fund Manager and
Managers and Other Persons of Securities Companies and Derivatives Intermediaries dated 3 June 2014 ; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 12/2557 Re: Repeal
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries; (e) record of complaints or