views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
ตลาดหลักทรัพย์หรือศูนย์ซื้อขายหลักทรัพย์ได้ตามกฎหมายของประเทศนั้นและอยู่ภายใต้การกำกับดูแลของทางการหรือหน่วยงานที่ทำหน้าที่กำกับดูแลด้านหลักทรัพย์ (regulated exchange) ข้อ 2
กฎหมายต่างประเทศซึ่งสามารถให้บริการเป็นศูนย์ซื้อขายสัญญาซื้อขายล่วงหน้าได้ตามกฎหมายของประเทศนั้นและอยู่ภายใต้การกำกับดูแลของทางการหรือหน่วยงานที่ทำหน้าที่กำกับดูแลด้านสัญญา ซื้อขายล่วงหน้า (regulated
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
together with supplementary documents as specified in the electronic work system of the Office. Clause 11 3 Repealed. Clause 123 In the case where the Office considers that the applicant has properly and
with supplementary documents as specified in the electronic work system of the Office. Clause 113 Repealed. Clause 123 In the case where the Office considers that the applicant has properly and fully met
comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary to the Thai version thereof
information provided in the application and supplementary documents and evidence which the applicant has submitted to the SEC Office only, and such results do not 4 guarantee that such units of foreign ETF have
(UNOFFICIAL TRANSLATION) Codified up to No. 10 As of 28 February 2020 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 3/2558 Re: Provisions relating to Offer for Sale of Shares Issued by Foreign Company Whose Shares Are Not Traded on Foreign Exchange _______________ By virtue of Sections 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as...