undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Capital Market Supervisory Board
procedures to ensure that investment consultants regularly distribute investment research to investors. Lack of investment research on small and medium market capitalization listed companies was concerned by
SEC Office shall proceed as prescribed by the Notification of the Capital Market Supervisory Board governing the prohibited characteristics of the personnel in securities business. 5 Repealed by the
. Details of the applicant (pursuant to Clause 7 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting of Approval
are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment
} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing
derivatives broker to ensure that policy, operational procedures, and personnel of those business operators related to money-laundering and terrorist financing are put in place. In 2010, the SEC and the Anti
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
as specified in the Notification of the Capital Market Supervisory Board governing the prohibited characteristics of the personnel in derivatives business. In cases where there appears the fact that
supporting the cooperation between the SECC and SEC Thailand to promote cross-border capital market activities between Cambodia and Thailand. This MOU is expected to be signed in Thailand in late September