impede the proceeding of the SEC Office; (6) record or any other past demeanor which indicates inappropriateness to be a personnel in the capital market business or director of the derivatives exchange or
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
would impede the ability of these individuals to perform their required business activities for the issuer. For example, this could include whether any of the issuer’s directors also serve as directors
impede the proceeding of the SEC Office, for instance, providing fact or evidence which is beneficial to the consideration or undertaking of the SEC Office, concealing or destroying 15 relevant evidence or
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
repetition of such similar facts or demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC Office; (6) record or any other past demeanor which
and means as determined by the intermediary , that they are assigned by the intermediary to provide services relating to capital market products . Division 1 Compilation and Assessment of Client
and means as determined by the intermediary, that they are assigned by the intermediary to provide services relating to capital market products. Division 1 Compilation and Assessment of Client
’ Life Platform of Choice”, we have upgraded our capability in data compilation and analytics, allowing us to understand and anticipate each individual customer’s needs under the “Segment of One” while