criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a compliance unit in which acceptable and reliable standards
derivatives broker’s board of directors, and comply with the criteria prescribed by the Association of Thai Securities Companies and approved by the SEC Office. Clause 7 The derivatives broker shall set up a
Executive of Securities Companies 05/11/2008 16/11/2008 7. Notification of the Office of the Securities and Exchange Commission 12/2542 (Synopsis) 05/10/1999 8. Notification of the Office of the
01/04/2014 Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01
Notification of the Office of the Securities and Exchange Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015 Notification
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries 06/09/2013 01/04/2014 Notification of the Office of the Securities and Exchange
undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue
), Section 109 and Section 117 of the S ecurities and Exchange Act B.E. 2535 (1992) , and Paragraph 2 of Section 133 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and