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
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...
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
the actual fee, the management company shall update such information in the factsheet without delay, publish the updated information on the management company’s website, notify the local intermediaries
: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries: “High-risk or complex mutual fund” shall be specified. 18.4 For a
or loans between the issuer and (a) enterprises that directly or indirectly through one or more intermediaries, control or are controlled by, or are under common control3 with, the issuer; (b
E_1 Legal_FA_2015_12_29-c A CCoorrppLL44..11hhiigg A Executive Summary Management Discussion and Analysis For the Quarter Ended June 30, 2017 The global economy in the second quarter of 2017 maintained its growth momentum. Similarly, Thailand’s major economic indicators continued to exhibit growth, as evidenced by brighter exports, government spending and private spending on certain items of durable goods. The Thai economy hence showed ongoing improvement from the first quarter. Nonetheless, the...