Derivatives Advisor (No. 3) dated 1 December 2023: https://publish.sec.or.th/nrs/9992s.pdf; 3. The Notification of the Capital Market Supervisory Board No. Tor Thor 41/2566 Re: Provision of Services to Clients
Supervisory Board No. Tor Nor. 42/2566 Re: Investment of Funds (No. 26) dated 1 December 2023 (https://publish.sec.or.th/nrs/9938s.pdf) and Appendix 1 (https://publish.sec.or.th/nrs/9935s.pdf) Appendix 2 (https
authorization before beginning any other activity.The SEC therefore proposes to amend the rules governing the undertaking of other businesses according to the resolution of the Capital Market Supervisory Board
No. Kor Jor. 18/2551 Re: Exemption of Filing of Registration Statement for Securities Offering: http://capital.sec.or.th/webapp/nrs/data/5364s.pdf- Notification of the Capital Market Supervisory
- Notification of the Capital Market Supervisory Board No. Tor Jor. 1/2563 Re: Exemption for Share Offering of Social Enterprise Being a Limited Company in General Case or to the General Public: http
. ** The two notifications above contain regulations that are overlapping with those contained in the following notifications: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 35
unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment
{A} and {B} were deemed a failure to perform duties with responsibility and deliberation as a professional in contravention of the Notification of the Capital Market Supervisory Board*.The SEC has
the Notification of the Capital Market Supervisory Board * The SEC therefore has suspended their approval as investment consultant, with details as follows:Capital Nomura Securities: (1) {B
characteristics of personnel in the capital market business of the 3rd category under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel