, unless permission has been granted by the Office to open or close its office at any other hours or days.
arising from or related to its use. ------------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 8/2551 Re: Rules, Conditions, and Procedures for Applying for Permission
derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or
/2551 Re: Rules for Applying for Permission and Granting of Permission to Derivatives Brokers to Establish Branch Offices _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as
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
maturity; (4) investment in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC
/forwards/swaps etc.) …………………………………………………….. □ others……………………………………………… …………………………………………………….. 2.3 The applicant is under restriction and suspension in conducting derivatives business as a derivatives dealer
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
Exchange Act (No. 2) B.E. 2542 (1999) and Section 18 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29
remuneration of service fee paid by the company for provider related to securities business, namely the securities exchange business fee, amortised permission fee, sale agent of unit trust fee and foreign broker