proposing to review the regulations governing debt securities of all types and related notifications. In essence, the proposed amendments to the debt securities regulations concern the followings: (1
to regulations on approval and standards of conduct for personnel in such securities businesses under various notifications. It is, therefore, appropriate to allow one person to contact investors in
notifications that contain overlapping regulations with other notifications** and do not keep pace with changing situations. They are (1) the Notification of the Office of the Securities and Exchange Commission
settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such dispute will be settled by means of arbitration organized by the SEC Office in accordance
in place a written agreement which provides that upon the client’s request for settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such
Exchange Clause 2 A derivatives trading system on derivatives exchanges is a fundamental system which has connection to the clearing and settlement system of derivatives clearing houses and other relevant
requires a knowledgeable, capable and responsible person to perform. The Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the
(2003) (including the amendments thereof) (the “Notifications on Connected Transactions”). The approval from the shareholders’ meeting on the entering into the connected transaction is then also required
Other Acts of Listed Companies Concerning the Connected Transactions, B.E. 2546 (2003) (including the amendments thereof) (the “Notifications on Connected Transactions”). The approval from the