4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
(now open for online registration) Chamnan Tantiyavuth, chamnan@sec.or.th, 0-2263-6169 Free of charge Topic: Investment Expectation & Reality SEC will be holding a seminar on Wednesday, Nov 18, 2015 at
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
as follows: Open: Willingness to actively listen and have a constructive dialogue to understand the needs, limitations and opportunities of all relevant parties to achieve mutual understanding and
private fund; “Provident fund” means any provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units
provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company” means any mutual fund
concerning Investment of Funds; “business day” means a day on which management companies are open for normal business; “Stock Exchange” means the Stock Exchange of Thailand; “provident fund with multiple
Section 230 Securities and Exchange Act B.E. 2535 Section 230. Securities companies may jointly establish an association related to securities business with an object of promoting, without seeking
anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines” means guidelines concerning risk