(12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant
intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant regulators in utterly cooperative way
Audit Regulators IOSCO หรือ European Commission ต่างก็ให้ความส าคัญกับเร่ือง ความเป็นอิสระของผู้ท าหน้าที่ก ากับดูแล โดยมีข้อก าหนดที่ชัดเจนว่า หน่วยงานก ากับดูแลผู้สอบบัญชี ที่จะได้รับการยอมรับว่ามี
Finance’s purview has already had independent director in accordance with the regulations of such regulators, it shall be deemed that the intermediary has had the independent director in accordance with this
the regulations of such regulators, it shall be deemed that the intermediary has had the independent director in accordance with this Notification. In this regard, the independent director thereof shall
issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading of the outbound
which can be issued or offered for sale in Thailand, unless otherwise prescribed by the SEC Office; (2) being an outbound product under the supervision of any of the following regulators and the trading
manager on the renewal application date in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact approved or registered by regulators of foreign
approved or registered by regulators of foreign capital markets accepted by the Office on the renewal application date and attending at least three hours of training on rules, regulations, code of ethics or