where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
สมาชิกสำนักหักบัญชีตกลงให้ TSD โอน-รับโอนหลักทรัพย์ผ่านบัญชีด้วยวิธีการโอนทางบัญชี (Book Entry) จากสมาชิกรายหนึ่งไปยังสมาชิกอีกรายหนึ่ง ซึ่งจะโอนหลักทรัพย์ตามรายงานข้อมูลการชำระราคาและส่งมอบหลักทรัพย์ของ
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
Shareholders’ Meeting by the Management Company and Information Disclosure _____________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992) and Clause 2(1), Clause 8, Clause 10, Clause
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The