Microsoft Word - OrKhorNor5-2549F.doc (Unofficial 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 responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating...
providing service under Clause 3, derivatives broker shall undertake the followings: (1) arranging to have process to ensure that customer acknowledge risks associated with derivatives trading on foreign
matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
Kitha Properties, arranging nominee to buy the shares of ADAM in the Stock Exchange with a view to gaining the majority of votes to control the business, exercising the shareholder right to add an
investment scheme, securities company shall proceed to examine investor’s qualifications at least as follows: (1) arranging investor to self-declare identity; (2) requesting information and documents
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system shall not be effected, which
) received assistance from the persons under (4) ? (7) in jointly arranging for a subsidiary company of TRITN, Splash Media Public Company Limited* (SPM), to enter a five-year rental contract for three