rules on capital market personnel*. As a result, the SEC has revoked her approval as capital market investor consultant for 10 years, starting from June 8, 2016. SEC Deputy Secretary-General Tipsuda
clearer scope of duties and responsibilities of trust, trustee and other parties related to the transaction. The rules will be revised to regulate trust as securities issuer, having duty to disclose the
primarily comply with its rules or the rules of the securities regulator of such recognized country (home regulators). Clause 7 In case of any of the following circumstances, the Stock Exchange of Thailand
the Office of the Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section
reference. - ราง - Notification of the Capital Market Supervisory Board No. Tor Jor. 63/2561 Re: Approval Rules on Offer for Sale of Newly Issued Bond of Foreign Entity Denominated in Thai Baht
, the Company’s margin loan balance was Baht 1,913 million. The Company controls the risk of such loans by establishing credit limits for clients and analyzing their financial position on an ongoing basis