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
International Organization of Securities Commissions (“IOSCO”) ตาม IOSCO’s 2013 assessment methodology และการปรับหลักเกณฑ์กำกับดูแลสำนักหักบัญชีและศูนย์รับฝากหลักทรัพย์ให้เป็นไปตาม Principle of Financial Market
ทรัพย์ กับมาตรฐาน Principles for Financial Market Infrastructures (“PFMI”) ซึ่งเป็นมาตรฐานใหม่ของ IOSCO 5. สร้างโอกาสจากการเติบโตของ emerging Asia เปิดทางให้ตลาดทุนไทยเป็นจุดเชื่อมไปลงทุนในกลุ่มประเทศเกิด
a financial institution under the Interest on Loan of Financial Institutions Act B.E. 2523 (1980) , except as specified in Chapter 7; “ capital market product ” means securities and derivatives
reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 9 Notification of the Capital Market
capital market. “ approved person ” means a person who is approved by the SEC Office to participate in a regulator sandbox. Clause 3 The provision of financial services under a regulatory sandbox of a
shall be repealed. Clause 2 In the case where the Notification of the Securities and Exchange Commission , the Notification of the Capital Market Supervisory Board or the Notification of the Office of the