approval date of the REIT offering to within 15 business days from the closing date of such offering, to allow all parties involved more time to meet all requirements.The consultation paper is available at
such behavior for future reference.The above investment consultants' actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval
company, asset management company, derivatives business, and financial institution or commercial bank receiving approval to provide services). The SEC proposal also aims at raising significance of
of duty is found. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business
attempt to promote derivatives market development. The plan followed the Cabinet?s recent approval for inclusion of silver and platinum on the SEC list of 14 approved goods and variables under the
Cabinet?s approval, has prescribed 14 additional goods and variables. Thailand Futures Exchange (TFEX), meanwhile, has scheduled the launch of silver futures in this coming June. Given this background, the
. SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009, the SEC suspended {A} for three months from June 17, 2010 and reprimanded {B}. The SEC also recorded their
(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment
derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators
the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated