Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 9 of 12 Consideration of complaints and rule of practice for employees Clause

. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system

exempted during the conversion process whereas the effective date of registration statement and draft prospectus of REITs will be expedited. In addition, one trust manager-one REIT rule generally applies to

securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders

obligations specified in the rule concerning acquisitions and disposals of material assets by listed companies. Please be informed accordingly, Yours sincerely, Finansa Public Company Limited (Mr. Vorasit

on 16 April 2025. Additionally, all short selling transactions must comply with the Uptick Rule, which requires short selling prices to exceed the latest trading price. This requirement will remain in

invest in real estate or infrastructure (funds and trusts) to create regulatory alignment as part of the regulatory guillotine project. The amendments are as follows:(1)   Amending the rule on

Bangkok, July 28, 2016 ? The SEC is seeking public comments on a proposed revision to the securities offering rule whereby offering of debt securities, infrastructure trust units and depository

. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees.  In proposing the rule changes, the SEC took into

Investment Schemes (Thai ASEAN CIS). To begin with, the first one provides an exemption of unit holding limit up to one-third of all units sold (the One-Third Rule) for Thai ASEAN CIS in the portion offered to