jurisdictions can submit the filing under ASEAN Disclosure Standards. In case of private placement to institutional and high net worth investors, they can submit single filing form in English version.In addition
Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits
Act B.E. 2535 (1992) (SEA) and thus liable to penalties under Section 296 of the said Act. Yanyong and Ziriwat?s actions, as accomplices, were in violation of Section 241 of the SEA and thus subject to
manager must make use of employee?s saving and employer?s contribution in the specified order. First, fund manager must invest or seek benefits under such employee?s previous investment policy. If the fund
characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business
capital market business under Clause 31(1) of No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014, which have been promulgated in replacement
: *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the
Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market
Bangkok, November 14, 2014 ? The SEC revised the criteria for Turnover List preparation to better reflect current market environment. On December 4, 2014, the first Turnover List prepared under the
, subject to the prohibited characteristic of the auditor in the capital market under Clause 16(1) of the Notification of the Office of the Securities and Exchange Commission No. SorChor. 39/2553 Re