for an Approval of Work Systems Relating to Undertaking of Securities Business in the Category of Investment Advisory Service of Licensed Securities Companies 4. Notification of the Securities and
. 3/2553 Rules, Conditions and Procedures for Undertaking Investment Advisory Business (Codefied) 01/02/2010 01/02/2010 Notification of Capital Market Supervisory Board TorKhor. 3/2553 Rules
Detail related to Proprietary Trading of Intermediaries 07/04/2015 16/05/2015 6. Notification of Capital Market Supervisory Board  Tor Khor. 4/2553 Rules on Undertaking Derivatives Business for
: Rules, Conditions and Procedures for Undertaking of Digital Asset Businesses, as amended; (2) Revise the management and personnel structures to ensure proper and adequate structures for conducting
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (Translation) -2- (6) Juristic persons established under
-Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (As amended) By virtue of Section 7 and the
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for