with the provision of this notification at the first opportunity; (2) In the case of open-end fund, mutual fund management company shall submit an application for an approval to amend mutual fund
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
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 _____________________
. Clause 7/1. A securities company shall be a member of Thai Bond Market Association. The provision under the first paragraph shall not apply to the case where securities company cease the business as debt
public auditor. The provision of the first paragraph shall not apply to a derivatives advisor.
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in
subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in any Clause of this Chapter permits to do so; (3
the notification of the SEC. The provision of the first paragraph shall not apply to a derivatives advisor. SECTION 28. A derivatives business operator shall prepare and submit financial statements to
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of