translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. ---------------------- The
SEC Thailand Academy 2016 ประกาศแนวปฏิบัติ ที่ นป. 3/2562 เรื่อง แนวทางในการปฏิบัติหน้าที่ของบุคลากรในธุรกิจตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 8/2557 เรื่อง หลัก
reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------------- Notification of
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. Securities and Exchange
Notification of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has