for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person who is not an investor contact to contact, solicit, or give any
prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such
securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person
to serve in the board of directors to monitor and supervise the company’s management on their behalf. To establish a circle of trust between the shareholders and the company, a corporate governance
; (2) to supervise the special purpose juristic persons to ensure their compliance with this Royal Enactment; (3) to prescribe types of assets and securities which may be approved for securitization and
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...