the decision. Therefore, the agenda was proposed for shareholders? approval.The above proposal would affect ADAM listing qualifications and trading of company shares in the future and it requires at
intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely. {A}'s actions were deemed using client
for their investment decision making. ?The regulations on securities allotment to the issuing companies? related persons must be revised as they have been in force for years. The revision aims to
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
for their investment decision while the List can also be of use for securities companies? risk management. Considering that Thai capital market has been developed with significant growth rate over the
Exchange Commission No. Kor Mor. 24/2562 Re: Determination of Fees for Undertaking Businesses According to Licenses ________________________ By virtue of Section 14(2) of the Securities and Exchange Act B.E
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means