personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale
inappropriately regarding securities dealing, the SEC Office may order such securities company to rectify, act or omit to act in compliance with this Notification. Chapter 4 Transitional Provisions Clause 24 A
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
” (repealed); “office” means the Office of the Securities and Exchange Commission. Clause 3. In this Notification, the provisions relating to a company licensed to undertake securities business in the category
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
and post-approval proceeding in Part 1; (2) the provisions on the proceeding of an established fund in Part 2; (3) the administration and management of a fund in Part 3. Clause 5 A management company
issuing company, the investors, and the offering for sale of securities, the SEC may grant a waiver to the persons under (1) and (2) or may allow such persons to act differently from the provisions under
Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a