. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 5. Notification of the
engagement performance, if improved will heighten their efficiency and bolster investor confidence in the Thai capital market. The SEC?s audit inspection in 2013 covering eight audit firms indicated that
reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
further cooperation. Schedule of the morning session includes panel discussions on bond market outlook, how to choose suitable fund raising activities for businesses, procedures for offer for sale bonds and
help ease procedures for approval and renewal of approval which is expected to result in increasing number of personnel to be sufficient for market demand.The revised regulations require investor contact
. 3/2553 Rules, Conditions and Procedures for Undertaking Investment Advisory Business (Codefied) 01/02/2010 01/02/2010 Notification of Capital Market Supervisory Board TorKhor. 3/2553 Rules
29/2540 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending By virtue of Section 14 of the Securities and Exchange Act, B.E. 2535 (1992) and Clause 5 of the Ministerial Regulation