justifiable purposes; (8) the client deposits a significant amount of cash with securities company without a clear order on how the money will be used for investment, or even when an order is made, the amount
Management System Objective A management company shall have an investment management system containing clear processes and procedures both prior to and after investment. The system shall also have appropriate
of directors or the audit committee of company. Such plan shall compose of clear procedures, method and duration of work so as to enable personnel and units to perform their duties under (a); (c
Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of
example, the texts must be clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law