Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Unless otherwise specified by the provisions of this Act, the SEC, the Capital Market Supervisory Board, the SEC Office, the board of directors of the Securities Exchange, and the Securities Exchange shall
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
: .......................................................................................... 4. Academic degree(s) ( Bachelor's degree in....... (FIELDS OF STUDY)........ from ….(INSTITUTION) ............. (NAME)................ ( Master's degree in .......... (FIELDS OF STUDY)....... from
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
Clause 20 of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of Funds dated 20 July 2009, the Office of the Securities and
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
be done by professionals and based on recognized academic principles. Clause 35 In case a client ’s suitability to invest in or enter into a transaction of capital market products is unable to be