Investment in Capital Market Products Denominated in Foreign Currency dated 30 April 2014; and (2) Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2557 Re: Provision of Services to
in Capital Market Products Denominated in Foreign Currency dated 30 April 2014; and (2) Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2557 Re: Provision of Services to Clients
No. 9 (B.E. 2540) issued under the Securities and Exchange Act, B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Short
Securities and Exchange Act, B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Short sale” means the selling of securities where
Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor
Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
Commission Sor Thor. 14/2558 Rules in Detail on the Protection and Management of Conflicts of Interest (Synopsis) 07/04/2015 01/10/2015 Notification of the Office of the Securities and Exchange Commission
: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House dated 16 May 2005 shall be repealed. Clause 2. In this Notification, (1) “derivatives
Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, unless otherwise defined: 1“securities company” means a company licensed to undertake securities business in the