(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 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. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
personnel skills, employment of external IT personnel; (4) management of critical risks in the case of being unable to allocate sufficient resources for the operation of the information technology function
Subscription period begins 4 October Subscription period ends 15 October 1st Trading Day 4 September The date to record the name of shareholders who entitled to the right to allocate the ordinary shares PAGE 5
begins 4 October Subscription period ends 11 October 1st Trading Day of the Newly-issued share 4 September The date to record the name of shareholders who entitled to the right to allocate the ordinary
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
the market? Why do investors allocate more capital to funds that have higher expense ratios? Most funds tend to hold similar stocks, so does the need to deploy capital impact some stocks more than
กับกองทุนที่ไปลงทุน (investee fund) 2. กรณีได้รับ rebates จาก management fees ของกองทุนที่ไปลงทนุ (investee fund) ให้น าไปบันทึกบัญชีเวลาค านวณ NAV โดยแยกจากบัญชี management fees ปกติ 3. การ allocate
) gather and allocate asset deemed to be owned by customer in order to return them to the customer; (2) transfer account and asset deemed to be owned by customer to other derivatives business operator; (3