the SEC within 30 days . In case the operator ( a ) fails to submit such plan ( b ) fails to operate in accordance with the plan ( c ) experiences negative NCs for 5 consecutive days, or ( d
dealer” means (1) licensee to operate securities business in category of securities dealing; (2) licensee to operate securities business in category of securities dealing under foreign law ; (3) the Bank
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
. 51/2561 Re: Outsourcing Function related to Business Operation to Third Party The Notification of the Capital Market Supervisory Board No. TorThor. 1/2561 Re: Rules, Conditions, Procedures for
segregating the unit of trading function from the unit responsible for defining factors for product selection. 6. Implementing a renumeration structure that does not tie up solely to sales KPI, for the
investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary market must apply for a license from the Securities and Exchange Commission (SEC Board). And after
category of private fund management shall be in form specified in the SEC’s Notification as published in the Government Gazette. Clause 11 The licensee to operate securities business in the category of
: (1) being a counter party to licensee to operate securities business in the category of securities borrowing and lending or securities depositary center, if such arrangement is made for such counter