), and Section 67 and Paragraph 1(11) of Section 69 of the Securities and Exchange Act B.E. 2535 (1992), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This
in Capital Market Act B.E. 2550 (2007), the SEC Office hereby issues the following regulations: Clause 1 In this Notification: “trust” means the infrastructure trust created under the Notification of
mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA
following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following regulations
____________________ By virtue of Section 123 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1 This Notification
Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 April 2019. Clause 2 The following notifications shall be repealed: (1