intermediary shall comply with the provision as prescribed in Chapter 1; (2) in case of oversea representative office, the intermediary shall comply with the provision as prescribed in Chapter 2. The
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
; (2) Provision of services exempted from application for a license to operate securities / derivatives business; (3) Activities without requirement for a license / registration for operating
Bangkok, 20 October 2016 ? The SEC is seeking public comments on the draft rules governing provision of investment services on capital market products denominated in foreign currency to promote a
approved under Chapter 1 or Chapter 2, who is an employee or a staff of the appraisal company in capital market and is not in suspending period of being lead appraiser ordered by the SEC Office or the
provision under Paragraph 1 shall not apply to the offering of bonds in the name of a foreign government. 2. the applicant shall not be in any following processes unless the exemption is granted by the SEC
consolidated financial statements for the same period of the year 2016, DCORP’s net loss increased by Baht 120.28 million. This was mainly due to setting a provision and amortization of Baht 42.73 million for