Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing disclosure requirement of securities issuers in policy and arrangement on anti-corruption
application or the offer for sale of the debt securities has the characteristics or structure in compliance with the rules or conditions for approval under this Notification, but certain facts lead to the
structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
derivatives only with institutional investor counter party. Clause 4.3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to
characteristics or structure in compliance with the rules or conditions for approval under this Notification but a certain fact leads to the consideration that the true intention or the substance of the offer for
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
characteristics: (1) a company related to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of the total number of shares sold; (2) a company related to an