.. (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal of
Microsoft Word - SEC KhorWor 25_50 - final (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor
Bangkok, March 28, 2012 ? The Bank of Thailand (BOT) has approved the proposal to allow retail investors to invest in derivatives traded on foreign derivatives exchange without limiting investment
Socatiyanurak, SEC Secretary-General said that the Capital Market Supervisory Board recently approved DR regulations on approval criteria and information disclosure. The launch of DRs will increase Thai capital
Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “financial institution” means a financial institution under the Interest on Loan of