Notification of the Office of the Securities and Exchange Commission (Translation) PAGE 2 Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Earlier, the SEC conducted a public hearing on proposed principles and draft amendments to the regulations for submission of granular data related to clients' assets and transactions of business
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual fund management; “Office
assets are either shares of foreign company or investment units of exchange-traded fund (ETF) listed on major exchanges.Besides, those having interest in foreign securities investment should thoroughly
Notification of the Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 3 Readers should be aware that only the original Thai text has legal force and this English
Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and this English translation is strictly