Translation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
information to Thai Bond Market Association as rules prescribed by the Office. Clause 15.11 Securities company shall appoint a person, registered with the Thai Bond Market Association, who responsible for
Translation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC
the ………... Company name……………………relationship……………………... O being person who is proposed to be an executive of the …………………………………………………...… Company name……………………relationship……………………... O being a person who
including the deposit in operating account; (2) Investment in instruments which related persons under clause 20(2)(a) to (c) is an issuer; (3) Transaction with private fund management company; (4) Transaction
(2) and Clause 13 (3); (2) the appointee shall be a permanent employee of the management company and able to work full-time for the management company except that such person holds the position of
(4) being a person whose name has been declined to be listed or has been removed from the database of directors and executives of securities issuing company due to the possession of untrustworthy
transaction without market price or using price which is not market price, management company, shall explain about the reason of such matters to the clients or provident fund committee before request for a