.pdf Notification of Capital Market Supervisory Board TorThor. 12/2555 Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2) http://capital.sec.or.th/webapp/nrs

the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and https://publish.sec.or.th/nrs/4197pe.doc < 1 ... >> > < 1 ... >> > Previous

risks arising from derivatives, the SEC shall https://publish.sec.or.th/nrs/2243pe.doc Translation : Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue

Securities and Exchange Commission in the electronic operational system of the Office of the Securities and https://publish.sec.or.th/nrs/4197pe.doc ประกาศสำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์

operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks:  * Means (1) a securities firm licensed to undertake the

Lawsuit” forum provides a good opportunity for discussions and exchange of views, by which knowledge and understanding of all parties concerned can be enhanced,” said Mr. Rongrak Phanapavudhikul, SET Senior

objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most

Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital

for enhancing operational efficiency under the ?SEC Centerpoint? Knowledge Management Project. The project has allowed the SEC staff to learn, exchange, and apply the knowledge acquired from work

statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to the penalty under Sections 312 and 315 of the Securities and