concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business (No. 3) B.E 2555 (2012) and the first
(6) of the Ministerial Regulation concerning Granting Permission of Securities Business B.E. 2551 (2008) as amended by the Ministerial Regulation concerning Granting Permission of Securities Business
derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which
case-by-case basis, by the Office, with the primary businesses in line with the primary business in which the mutual fund intends to invest, as specified in the investment policy; “Client” means person
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
, unless permission has been granted by the Office to open or close its office at any other hours or days.
person specified by the Bank of Thailand as having a permission to invest in outbound products , as prescribed by the SEC Office. Clause 14 In providing services to a client who is a juristic person
the borrowed securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the