trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2
Mobility of Professional ACMF Pass holder is exempted from taking local examinations concerning host’s Laws and Regulations Information on the laws and regulations relevant to performing duty as Recognised
of 80.10%. Compared with other East Asia & Pacific economies, Thailand and Singapore are at the 2 nd place while Malaysia is in the lead. The higher ranking based on the Protecting Minority Investors
of 80.10%. Compared with other East Asia & Pacific economies, Thailand and Singapore are at the 2 nd place while Malaysia is in the lead. The higher ranking based on the Protecting Minority Investors
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the Office of the Securities and Exchange Commission
securities depository or the Bank of Thailand to make securities deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise