company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 7 Notification of the Office of the
, 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. SorKhor/Nor. 7/2551
provisions of Clause 2 and Clause 11(7) shall not apply to an investment advisory company licensed to operate securities business in the category of investment advisory service prior to the effective date of
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
เช่น พันธบัตร หุ้นกู้ ตั๋วสัญญาใช้เงิน บัตรเงินฝาก Letter of Credit และ Letter of Guarantee เป็นต้น 3. เงินให้กู้ยืมคงค้าง (margin loan) จำนวนเงินที่ลูกค้ากู้ยืมจากบริษัทหลักทรัพย์เพื่อซื้อหลักทรัพย์ 4
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries