concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as from 16 January 2005. Clause 2. In this
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the
the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person who undertakes, for itself, in offering for sale or purchase of
Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re
) The Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 45/2545 Re: Determination of Fees for the Operation of Licensed Businesses (No. 2) dated 24 October 2002. Clause 2. In
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means