securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
Office” means a securities company’s branch office in Thailand that provides services through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and
securities for sale), financial advisor, lead underwriter, co-underwriter, the effective date of the Registration Statement, the conditions for cancellation of the offer for sale in the case that the amount of
effective on 6th January B.E. 2547. 2 (1) a contract in which one party is obliged to deliver goods as specified in the contract to the other party at a given time in the future, and the other party, in turn
such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of interest and leaking of