appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
, irresponsibility, carelessness to the client’s benefit, recklessness or unfair or unreliable business conducts, except where the applicant has received the permission from the Office due to the improvement in its
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
which the company is unable to maintain such adequacy, and inform the improvement to the Office within two business days from the date of the improvement. Clause 5 . During the period that the investment
personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such
: Clause 1 This Notification shall come into force as from 1 September 2017. Clause 2 In this Notification: “ Notification of Standard Conduct ” means the Notification of the Capital Market Supervisory Board
authorized by the regulator having authority to regulate such scheme. Clause 2 This Notification shall come into force as from 16 January 2013. Notified this 21th day of November 2008. -signature- (Chaikasem
Technology Security of Securities Company dated 3 August 2009 shall be repealed. Clause 2 This Notification shall come into force as from 1 September 2017. Notified this 12th day of September 2016. (Mr. Rapee
Futures Trading Business by Operators of Derivatives Business dated 25 July 2007 shall be repealed. Clause 2 This Notification shall come into force as from 1 December 2016. Notified this 11th day of
licensed to undertake securities business in the category of mutual fund management shall have the paid-up registered capital of not less than Baht 100 Million. Clause 2. This Notification shall come into