and Exchange Act 2535 90 12/03/1992 16/05/1992 2. Ministerial regulations Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) (Codefied
Exchange Act 2535 90 12/03/1992 16/05/1992 2. Ministerial regulations Ministerial Regulation Concerning Granting of Approval for Undertaking Securities Business B.E. 2551 (as amended) (Codefied) 25/01
Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore has suspended Theera for six months. Due to his approval status
Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing Investment and Giving
Regulations - PVD Act Ministerial Notifications Regulatory Summaries Fundraising Market Professionals Financial reporting and audit oversight Mutual Fund Cross-border Offering of Funds Business Operators
, 2014.Note: Clauses 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for
reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals