person qualified to be fund manager prior to the effective date of this Notification shall be deemed to be the approved person under this Notification, and for the purpose of renewing an approval, it shall
; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly Issued Structured Debentures or other Instruments having
/2008 11. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business
e-service Online Submission Limited BDU >> Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations 23/01/2004 2. Notification of the Securities and Exchange
Financial Statement & Auditor Approval (section 106) Publisc Disclosure (section 108) Reporting & Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities
Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc
notifications of regulations, as follows: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 12/2567 Re: Application and Approval for Issuance and Public Offering of Newly Issued Debt
. Report/Form (Notification of Securities and Exchange Commission) Form 90-19 Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business
for an Approval of Work Systems Relating to Undertaking of Securities Business in the Category of Investment Advisory Service of Licensed Securities Companies 4. Notification of the Securities and