granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to
Subj: Establishment of representative office abroad The applicant hereby notifies the establishment of a representative office abroad with details as follows: 1. Address
establishment of an association related to securities business to the SEC Office as per the Form specified by the SEC Office, together with the following evidentiary documentation: (1) the regulations of the
) investment units of a mutual fund offered for sale to non-retail investors in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures for Establishment
. 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
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
under the Derivatives Act B.E. 2546 (2003) . “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having
institutional or ultra-high net worth investors in accordance with the Notification of the Capital Market Supervisory Board Re: Rules, Conditions and Procedures for Establishment and Management of Mutual Funds
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with