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 No. 9 (B.E. 2540) issued under the

Commission No. KorDor 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

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

guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and

. 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

procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation;      1.4 Supervision of exchange-based trading to maintain continuity and reliability of the

comply with international standards and be recognized in the global community. Also, the capital market is a key driver of the national financial system. The FSAP involved two main separate assessment

of Thai capital market. This will be beneficial for the operation of businesses and investment decision making of investors.Rapee Sucharitakul, SEC Secretary-General said that the SEC will commence the