the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was the 3rd category
Bangkok, April 4, 2011 - The SEC Board at its meeting No. 4/2011 today has approved the issuance of new license for undertaking brokerage business limited to precious metals derivatives covering gold
Bangkok, March 8, 2011 - The SEC is seeking public comment on the proposal to strengthen role of compliance unit of securities company in the category of securities brokerage, dealing and
dated January 18, 2012 which was the 3rd category prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board
. Notification of Capital Market Supervisory Board TorThor. 22/2553 Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type (Codefied) 01/06/2010
Office No. SorKhor. 49/2552 Case Other Qualifications Academic Qualification Relevant work experiences1 Having passed the course on business knowledge and regulations related to being category A investor
business knowledge and regulations related to being category A investor contact from the Office or the training institute accepted by the Office* Having passed the course on regulations related to being