virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Giving advice
prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from
’ Meeting of O.C.C. Public Company Limited No. 6/2562 on November 7, 2019 considered and has pass a resolution to approve the warehouse lease transaction with related persons as following detail: 1
to consider the following matters: (1) Granting an exemption from an event of default for the bond issuer’s inability to maintain the Interest-Bearing Debt to Equity Ratio not exceeding 5:1 as
following matters: (1) Granting an exemption from an event of default for the bond issuer’s unable to maintain the Interest-Bearing Debt to Equity Ratio not exceeding 5:1 as of 31 December 2024
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
, B.E. 2535 (1992), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force from the 1 July 2018. Clause 2 The following