as from the date on which the Office receives the complete application and supplementary documents. Clause 9. In case the derivatives broker is a securities company which has obtained an approval from

issuer. Clause 5/1 In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and complete qualifcations as specified, the Office shall propose the case

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the Office of the Securities and Exchange Commission

securities depository or the Bank of Thailand to make securities deposit, withdrawal or book- entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office

such Law; (2) provision that in the case where any requirement in the mutual fund scheme or the commitment is in conflict or inconsistent with the rules issued by virtue of the Securities and Exchange

to be offered for sale which shall have the same characteristics of the forms and list specified in the registration statement. In the case where the CIS operator files the registration statement and

Bangkok, December 23, 2015 - According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three

Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three

regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification