of Investment Units dated 3 August 2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any
. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Dor/Khor. 11/2551 Re: Rules, Conditions and Procedures for the Establishment of Risk Management System for Business Continuity
referral from the Stock Exchange of Thailand, the SEC's probe found that during July 27 - August 15, 2011, {A} sold 29 million {X1} Company shares in securities trading account of the {X2} Company. She
company shall prepare such information of each investment policy.” Clause 3. The following provision shall be added as Clause 51/1 of the Notification of the Office of the Securities and Exchange Commission
Office of the Securities and Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992
Branch Office to Full Branch Office Securities company / derivatives intermediary 23/07/2013 Report/Form (Notification of Securities and Exchange Commission) Form 92-2 / 18-3 Application for Establishing
Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the