Office upon request: (1) the persons under Clause 5 and Clause 6 of the intermediary who is a financial institution established under other laws and licensed to undertake securities business as stipulated
Official Information Act: Persons to whom requests for information are made/persons who request information /employees/persons who receive letters/names of officers who request information from the Office of
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
to the mutual fund management company only in the part that has no impact on the investors in Thailand, provided that the mutual fund management company is able to demonstrate that the request for such
the mutual fund management company only in the part that has no impact on the investors in Thailand, provided that the mutual fund management company is able to demonstrate that the request for such
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis. Clause 2. This Notification
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board