time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
person. Clause 11 An intermediary could assign investment service to a foreign person [located abroad] to make an investment in a foreign jurisdiction for a fund under management of the intermediary
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
publicly about sale promotion in advance within appropriate period; (5) in case of sale promotion of offering for sale of investment units, a securities company licensed to undertake mutual fund management
duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...