and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
exempted for businesses joining the project by submitting to the SEC their applications for the approval of offer for sale of shares to the public with complete additional documents within December 2013 to
funds for investment with the launch of the ASEAN CIS Framework. Fund managers in an ASEAN country will have a direct and efficient route to offer their funds to retail investors in other ASEAN countries
the auditing of the financial statements as prescribed under Clause 1 (2) (3) and (4); (2) being a foreign auditor who is allowed to undertake an audit business in compliance with the law of the country
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
in the category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law
category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4) 1 financial institution established under specific law; this is
category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law; this is
country. In this regard, if such offering is an initial public offering, there shall be an offer for sale in an ASEAN country simultaneously or relatively in the same period of time. (2) an offer for sale