securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
technology is applied to improve operating procedures and the accordance of the adopted IT system with the business objectives; (e) issues and obstacles. 6. The intermediary should assign senior management as
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 27 Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992) , as amended by the Securities and Exchan...
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise