Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a manner which may cause disgrace
are appeared to the SEC Office that such branch office has had inappropriate manner as follows: (1) doing business in a manner which may cause damage to its clients; (2) undertaking operation in a
UNOFFICIAL TRANSLATION 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 Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
funds ; (5) undertaking for open-end funds to maintain their liquidity and the procedure in case of failure to maintain liquidity as specified; (6) any other provisions relating to the management of funds
; (5) undertaking for open-end funds to maintain their liquidity and the procedure in case of failure to maintain liquidity as specified; (6) any other provisions relating to the management of funds in
undertaking of finance, securities and credit foncier businesses, securities company under the laws governing securities and exchange, life insurance company under the laws governing life insurance or financial
/2004. (Translation) 2 Clause 2. Any commercial bank under the laws governing commercial banks, finance company under the laws governing the undertaking of finance, securities and credit foncier