E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position in the firm Address City State Postcode Country E-mail address Telephone number Fax
_______ Country _______ Expiry date _______ Home Address _______ City State Postcode Country E-mail address Telephone number Fax number Mobile phone number 2. Principal place of practice Firm Name Position
number, mobile phone number or e-mail of which companies shall update a name list and contact information regularly. Additionally, companies should specify additional communication channels, such as SMS
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
making a deal. Clause 14. Securities company shall report securities trading information to Thai Bond Market Association as rules prescribed by the Office. Clause 15. Securities company shall appoint a
หลักทรัพย์เพื่อบริษัท (proprietary trading) พนักงานที่เกี่ยวข้องกับการจัดการกองทุนส่วนบุคคล (staff deal ( หลักปฏิบัติในการซื้อขายหลักทรัพย์เพื่อบริษัท (proprietary trading ( ( ( ( ( ( 1.4 (ข) ( 1.4 (ค
issues this Notification of Guidelines, as follows: Clause 1 The Guidelines deal with the following matters: (1) establishment of policies, measures and operating systems relating to the governance of