Office of the Securities and Exchange Commission hereby issues the following guidelines: (Translation) -2- (1) in case where the derivatives business operator appoints a new person to be an executive of
business operator appoints a new person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person
appointment of an agent to undertake custody of clients’ assets without delay. In cases where the securities company appoints a person who has a relationship as a parent company , subsidiary company or
’ assets without delay. In cases where the securities company appoints a person who has a relationship as a parent company, subsidiary company or associate company as an agent, the securities company shall
this asset disposition. In this regard, the company appoints Jay Capital Advisory Limited to be Independent Financial Advisor (IFA) in order to give opinion on the company entering into the disposition
account or the cancellation date of the agreement. Clause 17. An agreement which a retail client appoints the securities company as his or her securities broker, shall bear a statement of larger fonts, or
transfer restriction registered with the Office, the company shall not accept such transfer registration, except for the case of inheritance. If the company appoints a warrant registrar, it shall ensure that
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. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...