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, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
hereto shall base upon the violation of the law on securities and exchange, the law on derivatives, or the law on trust for transactions in capital market as specified in the Appendix attached hereto; or
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under, or establishing guidelines for compliance with, the Notification of the Capital Market Supervisory Board
liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for
damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and
, regulations, or requirements set out by the Securities and Exchange Commission, the Capital Market Supervisory Board, the SEC Office, or the relevant derivatives clearing house; (3) an event which causes a
by Ms. Noppawan Suwan and Mr. Viroj Arnokkaeo, who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation. Such market manipulation was in violation