orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account
purpose of standardizing the operating control of brokerage and dealing of securities that are not debt instruments, the SEC Office hereby issues the following preliminary common guidelines for securities
the following timeframes: (1) in case where the applicant submits the application for approval of the qualifications of the applicant under (1) of Paragraph 2 of Clause 5 and the application for
Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008), the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and
Ministerial Regulation Re: Approval of Securities Business B.E. 2551 (2008) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The Notification of the Securities and
notice calling a shareholders’ meeting to obtain an approval for the issuance of warrants and underlying shares, which contains at least the following particulars: (a) general information of warrants such
. Clause 7. For an advertisement referred to in Clause 6(1) and (2) to be granted an approval from the Office, it shall comply with the following conditions: (1) must be an advertisement for any of the