securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
Section 103 PAGE 2 Securities and Exchange Act B.E. 2535 Section 103. No securities company shall appoint or allow any person with any of the following prohibited characteristics to be or to perform
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in
person having the following qualifications intends to participate in a regulatory sandbox , the person shall submit an application for approval to the SEC Office together with accurate and complete
appointed the following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel , it shall be
, excluding the following businesses: (a) securities borrowing and lending business; (b) mutual fund management for foreign investors. (2) person licensed to undertake derivatives business in the category of
Exchange Commission. Clause 3. The following securities companies shall pay fees to the Office at the rate of one percent per annum on their income, but not less than Baht two hundred thousand and not
service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following
Management of Funds dated 1 June 2004, the Office of the Securities and Exchange Commission hereby issue the following regulation: Clause 1. This Notification shall only apply to the following funds which have