of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules
be entitled to obtain reimbursement from proceeds or property out of the trust property unless the trust instrument specifies that the payment shall be borne by the trustee. The right to obtain
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
intermediary or the SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the
, appointment, dismissal and discipline for personnel and employees of the SEC Office, the determination of salary and other remuneration as well as welfare and assistance; (4/1) 4 the prescription of a guideline
assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient