on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets, whether for the purpose of keeping, purchasing, selling, borrowing or
advice to others, whether directly or indirectly, concerning derivatives or advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving
committee inform their interests in the matter under consideration; (2) the trust manager shall ensure that the members of the investment committee with interests in the matter under consideration, whether
Thailand, mutatis mutandis. (1) acquisition or disposal of asset regardless of whether it is the asset of the company or the subsidiary; (2) transfer or abdication of the right and interest or the claim over
) imposing the intermediary to submit any information, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary, in order to monitor the compliance with this