where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer
has been lately submitted and effective: ( Form 69 – CIS full (effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS
have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full
License to Provide Services as Securities Registrar (No. 6) dated 24 April 2017 (effective on 16 May 2017). ( Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 32/2546 Re
.” Clause 2. The derivatives advisor who provided services for customers prior to the effective date of this notification shall arrange to have an agreement in writing relating to the settlement of disputes
securities business license in the category of investment advisory service or a securities business license type C , as the case may be, the derivatives business license so issued shall become effective when
License (No. 2) dated 5 April 2017 (effective on 16 April 2017). 1 As repealed by the Notification of the Securities and Exchange Commission No. Kor Thor. 14/2560 Re: Application for the Agricultural
(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...
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...