the case where the units of the foreign ETF are listed on more than one exchange, the term shall mean the exchange specified by the foreign ETF as the home exchange; “CIS operator” means a person who is

for the benefit of compliance with the rules under this Notification. In case of having complied with such guideline, it shall be deemed that the trustee has already complied with this Notification

company" means a securities companies licensed to undertake securities business in the category of mutual fund management; “unit” means an investment unit of mutual fund or trust unit of trust, as the case

mobilizer as prescribed under Clause 1 (2) (3) and (4), as the case may be, only in the case where a foreign business issues a private placement of debt instrument or sukuk. Clause 23 A foreign auditor who

/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market

financial statements of NMG.    The evidence in this case has revealed that the NMG’s financial statements for the year 2015 to 2017 showed manipulated income and unrealized advertising income, which were in

March 2019. Therefore, SEC will not accept her future application for approval as personnel in the capital market for 15 months in the same manner as for the case of her approval as investment

and Section 296/2 of the Securities and Exchange Act (No. 5) B.E. 2559 (2016). In the case of Usuma and Thitirat, their acts are liable to be the offenses under the aforesaid Sections in conjunction

Bangkok, 7 June 2018 ? The SEC has imposed civil sanction in the case of share manipulation of Asset Bright Public Company Limited (ABC) (currently named Digital Tech Planet Public Company Limited

or executives for a specified period.With the facts and evidence found following the case referral from the Stock Exchange of Thailand (SET) and the SEC ‘s investigation, it was presumed that Laksana