the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such
for the sale of units of foreign collective investment scheme offered in Thailand This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be
Intermediary 06/09/2013 01/04/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09
Department, and the Intermediary Policy Department._______________________
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
Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have