rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
insurance companies; (f) life insurance companies; (g) juristic persons in the category of corporation; (h) mutual funds; (i) private funds; (j) Government Pension Fund; (k) provident funds; (l) Bank of
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
อังกฤษ สหรัฐอเมริกา ภาคผนวก 2 องค์การระหว่างประเทศ European Investment Bank (EIB) European for Reconstruction and Development (EBRD) International Bank for Reconstruction and Development (IBRD) including
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.