Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural
baht when combined with deposit , according to the audited financial statements for the most recent financial year; (2) a natural person including the spouse, having any of the following characteristics
customer; “Office” means the Office of the Securities and Exchange Commission. Clause 2 . A management company shall appoint a natural person or a juristic person as its representative pursuant to the
traffic light protocol ซึ่งระบุรายละเอียดอยู่ในระบบ TCM-CERT Portal อย่างเคร่งครัด 2. ตัวแทนสมาชิกฯ จะจัดส่งรายงานเหตุการณ์ที่อาจส่งผลกระทบต่อความมั่นคงปลอดภัย ของระบบสารสนเทศ (incident report) ให้กับ
unauthorized physical access. Additional Guidelines 1. The intermediary should design the secure areas by considering physical protection against natural and man-made disasters. Perimeters of building or site
Finance Chairman of the Securities and Exchange Commission Note: The reason for issuing this Notification is that in light of the fact that the originally prescribed form of a service office has a limited
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
the Office of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February 2006 in light of amendments to
___________________ Division 1 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for
Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption ___________________ Clause 4 In appointing a natural person to be an agent for selling investment units