pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
established under specific law which are not persons under (9); (7) Bank of Thailand; (8) International financial institutions; (9) Government agencies and state enterprises under the laws on budgetary
with other laws shall comply with such governing laws.
particular time; (5) Investment in financial instruments/contracts which are legal under the concerned laws; (6) All expenses chargeable to the fund should serve the purpose of fund operation; (7) Every
a regular basis. A securities company shall maintain complete evidentiary documentation related to the operation in Paragraph 1 and Paragraph 2 in a manner ready for prompt retrieval or inspection by
laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions
behalf of the customers; “Financial institution” means any financial institution under the laws governing loan interest rates of financial institutions; “Office” means the Office of the Securities and
of clients ; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the
operate business efficiently, responsibly and in compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness and sufficiency as
; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial