brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border

fund supervisors No. Nor Jor. ( Wor) 6/ 2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the

of the person(s) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or

Bangkok, February 19, 2015 ? The SEC lifts up mutual fund rules to allow investment in derivatives and structured notes (SN) in line with international standards.Vorapol Socatiyanurak, SEC Secretary

Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of

analysis should be read in conjunction with our financial statements and accompanying notes, as well as our selected operating data, included elsewhere in this Offering Circular. Our financial statements

Asian Insulators Public Company Limited No. 254 Seri Thai Road, Kannayao, Bangkok, passed to approve the Company issuing the Promissory Note to the related-company and person not exceeding 10 notes of the

", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on

Memorandum of Understanding concerning Consultation and Co-operation and the Exchange of Information (IOSCO MMoU), for the purposes of information exchange and regulatory enforcement co-operation. Due

relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists https