application (right to be heard) if time allows. 59 days The SEC Office 4) Signature / Resolution of the Board Affix signature in the letter notifying the result of the consideration of the application. 1 day
maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities
the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities company shall notify its
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
person in and out of the unit responsible for custody the private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System
written consent from clients for the appointment of members as derivatives trading agent whereby the clients agree to [i] inform and provide members with information that allows unique identification of the
, Management and Investment of Mutual Funds Offered to Non-Retail Investors ; (2) investment units of a mutual fund of which the investment policy allows to invest in any asset generating returns upon complex
; (2) investment units of a mutual fund of which the investment policy allows to invest in any asset generating returns upon complex conditions which probably cause the mutual fund to take a loss more
persons which Section 29, in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand , so permits by virtue of law, the
persons which Section 29, in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand, so permits by virtue of law, the