Thor. 8/2557 Re: Rules on Capital Market Business Personnel dated 3 June 2014, which has replaced the first two notifications above.
, rules and regulations. The SEC therefore suspended the financial advisor supervisor approval granting to {A}, {B} and {C} throughout the expiry date of approval and will not consider their applications
project has been launched in attempt to promote advantages of bond issuance while the SEC has eased relevant regulations to simplify the process and revised mutual funds investment rules to facilitate
comply with relevant rules and regulations as well as submit information and clarify matters clearly and completely as specified by the SEC and the SET.Information to be submitted and clarified by POLAR
and derivative business operators throughout such same period. * Clause 4 and Clause 31(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in
information disclosure on MD&A of Thai listed companies still has room for improvement. The SEC has therefore planned to study overseas rules and practices, gather information from the industry including
the Project, business operators will gain knowledge and better understanding about capital market, relevant fund raising rules and regulations, and preparation for going public. In addition, they will
securities firms, investor contacts and clients. Strict rules must be complied and securities firms must put in place necessary systems and tools for maintaining records of clients orders that include voice
, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank
service sectors in the capital market. The SEC has closely monitored the situation and consistently cooperated with related parties to keep informed of the impact level, consider relaxation of rules to help