Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the
capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following rules: (1) having a
, and the names of competitors (only in the case of duopoly or oligopoly), etc. (3) Procurement of products or services Describe an overall procedure for procuring products for sale during the preceding
Notification of the Securities and Exchange Commission Re: Rules and Period for Submitting a Report of the Securities Company, dated 18 May 1992, the Office of the Securities and Exchange Commission hereby
Capital Market Supervisory Board may specify that such signatures may be stamped by machine or by other means. In such event, the rules and procedures as specified in the notification of the Capital Market
of the Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities
Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By