derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that
include any juristic person established by a specific law with an objective to undertake businesses; Chapter 1 Appointment of Property Fund Manager ______________________ Clause 3. In appointing property
) a finance company; (c) a securities company; (d) a securities depository center ; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
institution established under specific laws, who seeks to be registered with the Office as a qualified fund supervisor shall; (1) Maintain capital adequacy and capital reserves as specified by the rules of laws
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
procedures (including independence, quality standards, etc.)? If yes, please describe. 2 Does the firm have specific Continuing Professional Development (CPD) policies and procedures for all staff members and
Thailand; (3) an international financial institution; (4) a juristic person established under a specific law; (5) a government agency and a State enterprise under the law on budgetary procedure; (6) the
Approval for Undertaking Securities Business B.E.2551 (2008), the Securities and Exchange Commission hereby issues the following regulation: Clause 1. Financial institutions established under a specific law