may use information obtained from other experts in the area as reference, provided that the financial advisor has verified to the extent that the experts are qualified in such area; (6) to arrange for
selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
undertaking of securities business without having obtained a license under Section 90 and subject to penalties under Section 289 of the Securities and Exchange act B.E. 2535 (1992), namely an imprisonment
content of IFRS S1 comprises the following: 1 Objective 2 Scope 3 Conceptual foundations 4 Core content 5 General requirements 6 Judgements, uncertainties and errors 28 พฤศจกิายน 2567 Page 13 ท ำควำมรู้
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card