” means any mutual fund which https://publish.sec.or.th/nrs/4685pe.doc 7041pe.doc mobile devices are the property of the employees, the intermediary should consider adopting the guidelines in Items (1) - (5
) “Specified property fund” means any mutual fund which https://publish.sec.or.th/nrs/4685pe.doc 7041pe.doc mobile devices are the property of the employees, the intermediary should consider adopting the
intermediary, who will conduct KYC and Suitability tests in order to protect investors.4. Funds investing in shares of SMEs and startups will be established. These funds will be administered and
Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to
operating time and 1,645,764 sheets of paper use. The completed 15 projects consist of five intermediary business and exchange projects, four asset management business projects, three fundraising projects
) Notification of the Capital Market Supervisory Board No. Tor Thor 39/2555 Re: Providing Compliance Unit of Intermediary dated 14 August 2012; (3) Notification of the Office of the Securities and Exchange
submitted securities trading orders through the client's account for the benefit of his own and others. In addition, such securities trading used proceed from loan whereby {B} acted as intermediary to
business entity found to be related to the above executives as an intermediary for client payments. Such irregularities prevented the company from receiving full payments from end-customers according to
Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have prohibited characteristics