, investors do not need to go to a branch of the service provider to fill in the same information set in person. This is another step towards digital transformation of the capital market. The single form helps
customer’s knowledge and understanding, branch mentioned in the complaint, type of securities commonly named in the complaint, and amount of time the operator spent to resolve the problems, etc., will be
. Prapai Songserm, the bank’s branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct
Where an applicant for securities business license in the category of private fund management is a legal entity under Clause 2(1) to (5), but not a branch of foreign commercial bank or a foreign life
Committee, Market Risk Management Sub-committee and Enterprise Risk Management Division, to ensure timely and efficient risk management, thus maintaining risk within specified prudent limits. 2.3 Liquidity
other law from such acceptance of selling orders or closing out of positions. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ________________________ Division 1 General
an approval [for establishment] from the Securities and Exchange Commission. 2 The law on financial institution business means the Financial Institution Business Act B.E. 2531 (2007). 4 Division 1
with bondholder representative, total value of THB 194.0mn, interest rate 5.25% p.a., quarterly payment, 2 years, having maturing date on 4 December 2021. 2) open a new branch of Dink Dink noodle store
possible impacts, placing importance on efficient risk management under the supervision of the Enterprise Risk Management Division, Market Risk Management Sub-committee and Risk Management Committee, to
[Translation] Page 1 of 3 Ref. PDI/BK-BS-049/2019 9 August 2019 To: President The Stock Exchange of Thailand Subject: The notification of the connected transaction and the dissolution of a Subsidiary