. ----------------------------- Notification of the Office of the Securities and Exchange Commission Governing Undertaking of Other Business of Securities Companies B.E. 2552 (2009) ___________________ Whereas Section 98(8) of the Securities
operators. The proposed amendments are intended to facilitate monitoring and supervising the risk management of businesses, including systemic risk, ensure a fair and orderly market, to protect investors
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
, Thailand cannot 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 Securities and Exchange Commission No. KorNor
Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the
: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; 2 Amended by the Notification of the Securities and Exchange Commission No. KorMor. 19/2560 Re
Intermediaries By virtue of Clause 5(1) in conjunction with Clause 12(3) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 (2013) Re: Standard Conduct of Business Operation, Management
dated 4 June 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “executive” means a manager or an authorized management person; (2) “manager” means a person