Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and this English
Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and this English translation is strictly
Bangkok, April 17, 2014 ? The SEC requires disclosure of foreign bank branches as issuers of debt securities to focus on information of branches. Meanwhile, both credit ratings of the banks and the
assets – to apply for an exemption of business restrictions specifically for securities and derivatives businesses, on the condition that they can demonstrate sufficient liquidity to continue normal
price changes of instruments or underlying assets in a way that causing potential loss to business operators. This happens when the operators take positions (either long or short) in these securities