, shall be repealed. For the preliminary period of conformity to this Notification, the transitional provisions shall be applied, as specified in detail in Chapter 8. 3 Division 4 Powers of the SEC Office
UNOFFICIAL TRANSLATION Codified up to No. 10 As of 24 October 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange A...
least five years as from the last day of the calendar year when the services thereof are provided outside the intermediary’s offices in order to be examined by the SEC Office. Chapter 8 Transitional
years as from the last day of the calendar year when the services thereof are provided outside the intermediary’s offices in order to be examined by the SEC Office. Chapter 8 Transitional Provision
Stock Exchange of Thailand in the past accounting period. 19 Division 5 Transitional Provisions ____________________ Clause 52 In case where the management company has correctly submitted an application
Transitional Provisions ____________________ Clause 25 In cases where the Office has already received an application for an offer for sale of newly issued warrants and underlying shares prior to the effective
(1), the appraisal report has been used in engaging in capital market transaction prior to the date when the SEC Office has suspended or revoked the approval. Chapter 5 Transitional Provisions
allows them to be available for viewing or inspection by the SEC Office upon request. Chapter 13 Transitional Provisions _____________________ Clause 47 All notifications of the Office of the Securities
(effective on 1 September 2018). 11 with the power prescribed in Section 24/1 of the Securities and Exchange Act B.E. 2535 (1992). Chapter 4 Transitional Provisions _____________________ Clause 28 Any person