advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
confirm and formalize the good contacts between our two authorities. Thailand and Luxembourg have a lot of things in common and we are convinced that this MoU will be beneficial by prompting a better mutual
Exchange Commission related to appointment and performing duty of fund manager and in relation to approval of investor contacts and standards of conduct specify that fund manager, property fund manager
intention to use other assets for his own benefits. His actions deemed a breach of Clause 14 (1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated
, fraud or embezzlement and wrongful use of the clients? assets in violation of Clause 14(1) of the SEC Notification No. SorKhor 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14
requirements. In addition, listed companies may submit the reports through the Stock Exchange of Thailand (SET)'s electronic system while the original may be filed with the SEC later. (3) Investor contacts
requirements. In addition, listed companies may submit the reports through the Stock Exchange of Thailand (SET)?s electronic system while the original may be filed with the SEC later. (3) Investor contacts
SorKhor 49/2552 Approval for Investor Contacts and Standards of Conduct 14/10/2009 01/01/2010 10. Notification of the Office of the Securities and Exchange Commission 49/2552 (Synopsis) 14/10/2009
capital market business personnel for 6 months, effective from June 27, 2015. *Clause 11(6) of the SEC Office Notification No. SorKhor.15/2548 Re: Approval of Investor Contacts and Standards of