as defined in the Notification of the Securities and Exchange Commission concerning Determination of Definitions in the Notifications relating to Issuance and Offer for Sale of Securities. “foreign
covering risks and the detailed operation concerning the risk management. Clause 3 The securities clearing house shall procure adequate financial resources for potential risks arising from the operation of
August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
the year 2013 concerning the transactions with VBB, which was recently established on 1 July 2013 with a registered capital of only 1 million baht, the SEC conducted a further investigation and found
notification concerning possesion of prohibited characteristics of capital market personnel. 2 Clause 23(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 and Clause 31(1
on Personnel in the Capital Market Business dated 3 June 2014 and Clause 31(1) of the same notification concerning possesion of prohibited characteristics of capital market personnel. 2 Clause 23(1) of
” หมายความว่า Memorandum of Understanding (MoU) between the Securities and Futures Commission of Hong Kong (SFC) and the Securities and Exchange Commission of Thailand (SEC) Concerning Mutual
) advising others concerning securities (excluding collective investment schemes) และ(3) advising on and/or marketing of collective investment schemes ของสิงคโปร์3ตามกรณีที่ 3 ตาราง
;Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์
Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposal of Assets B.E. 2547 (2004) dated 29 October 2004 ("Acquisition and Disposal of