services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
currency, the intermediary shall comply with the following rules: (1) To provide services within the scope of each type of license granted to the intermediary; (2) To arrange for clients to access the
. IDENTITY OF DIRECTORS, SENIOR MANAGEMENT, ADVISERS, AGENTS AND OTHER INDEPENDENT THIRD PARTIES A. Directors and Senior Management1 1. Provide the names, nationality, addresses and functions of the issuer’s
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
GBP aim to support issuers in transitioning their business model towards greater environmental sustainability through specific projects. Issuance aligned to the GBP should provide an investment
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact service or back office service; “Securities