virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major shareholders

Companies. By virtue of the third paragraph of Clause 5 of the Notification of the Ministry of Finance, Re: Prescribing conditions requiring securities company to apply for approval of persons who are major

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

management company may seek a general consent from the client or the provident fund committee in advance in the private fund management agreement. Clause 15 A management company may enter into a transaction

advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and

personnel who obtained the approval from the SEC Office in accordance with the rules specified in the notification of the SEC Office, be responsible for contacting, soliciting or giving advice related to

--------------------------------------- Clause 12. 9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No

--------------------------------------- Clause 12.9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No

SEC Office (ECM) The SEC Office receives the following personal data from its cooperation with government agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of