), Sunshine International Co., Ltd., Aqua Corporation Co., Ltd., and Mrs. Chompis Bunnag on October 27, 2010 is deemed incomplete under SEC regulation. This is because the tender offer does not include material
regulation and supervision of mutual funds and mutual fund-related service providers.? In addition, the MoU marks the beginning of bilateral cooperation that will create business opportunities for investment
capital market. This is to allow existing business operators, apart from securities companies, financial institutions, or newly established companies as specified in the current ministerial regulation, to
and Development Department and Securities Regulation Department3. Deputy Secretary-General Tipsuda Thavaramara runs Policy Division and Fund Raising Division. 3.1 Policy Division
undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for