Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
management company as representative for soliciting of customers to enter into an agreement with the private fund management company; “Management Company” means a mutual fund management company, a private fund
. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
company to manage a fund; “Repurchase agreement” means a sale of securities or debt instruments with an agreement to repurchase such securities or debt instruments on the date specified in the agreement