Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake
management company or being a director of the management company who does not hold any other positions in such management company except where such positions are under the vertical line of command or do not
Securities and Exchange Commission No. SorThor/Nor. 19/2543 Re: Prescribing factors in considering the seriousness of behavior as a prohibited characteristics of persons who are or will be major shareholders
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
attendance For a purpose of considering the renewal of approval for investor contacts, the Contacts and the organizer must keep the following relevant evidence: 5.1 The Contacts – the complete evidence in full
registered person shall notify the Office in writing within the next business day following the date when such qualifications are regained. Clause 8. In cases where a registered person lacks any of the
rates as specified in paragraph one hereof. Clause 5. The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees
this Notification, shall remain in full force and effect to the extent that they are not inconsistent with nor contrary to the provisions of this Notification until the notifications, orders and circular
. In cases where there are three arbitrators, the fee shall be charged at a said rate and each arbitrator shall receive a fee of not exceeding one hundred thousand baht for each dispute. Clause 33. If
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets