have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon
19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of
related to properties in or outside the Kingdom including to accept donated properties; (2) borrow or lend money as well as make investment for profit; (3) determine the fees for filing registration
, the management company shall be granted relaxation to postpone the calculation until the management company is able to determine the fair value of equity instruments issued by PTT Public Company Limited
, or have been stipulated such requirement but it is necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such
is to determine the maximum amount of damages claimed in order to ensure that the arbitration serves as an alternative dispute resolution for individual investors in accordance with the purpose of the
possesses strong financial position and reliability. It is, therefore, deemed necessary to determine the minimum paid-up registered capital of such person.
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exc...