information technologies in securities business. Clause 5. The policies and procedures mentioned in Clause 4. must be regularly reviewed within the timeframe deemed appropriate by the securities company. Clause
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
, the asset deemed to be owned by customer shall not be regarded as asset subject to the restriction of distribution, disposal or transfer effectuate by due and legal order suspending in whole or in part
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
Management Business dated 17 February 1997 prior to the date on which this Notification comes into force, it shall be deemed that such service office is permitted to operate as a branch office under this
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly