derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
International Finance Corporation (IFC) Inter-American Development Bank (IADB) African Development Bank (AfDB) Asian Development Bank (AsDB) Caribbean Development Bank (CDB) Nordic Investment Bank (NIB)
(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...
the case of compliance with the written approval by the authorised person, including consistently reviewing such privilege. [ M] · For the necessary case that employ the privilege user, there shall be
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
Thailand; (21) juristic person in the category of statutory corporation; (22) juristic person whose shares are held by the investors under (1) to (21), in aggregate, exceeding seventy-five percent of the
under the Notifications of Capital Market Supervisory Board concerning the outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for
in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
insurance companies; (f) life insurance companies; (g) juristic persons in the category of corporation; (h) mutual funds; (i) private funds; (j) Government Pension Fund; (k) provident funds; (l) Bank of