regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the

Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers

aims to better listed companies? and financial advisors? understanding on the new rules and help them prepare the reports and Form 56-1 with better quality and in conformity with the rules.  The revised

arms’ length and after the close, Continental will not have any claims against the Company. This disposal of asset transaction is not considered as material transaction, as the highest value of

expenses, net claims and other underwriting expenses rose by Baht 14.16 million, Baht 6.92 million and Baht 10.18 million respectively. 1.2 Operating expenses increased by Baht 3.56 million or 5.1% due to

case that any party claims to be an intermediary, either as digital asset exchange, broker or dealer, SEC suggests that investors should verify their legitimacy via the list provided on the SEC

delivery upon exercise of conversion rights. The agreement should allow respective counterparties to settle damages claims so as to protect investors? interests and lessen possibility of litigation;4

No. WHAUP-CS021/2017 2 October 2017 Subject: Notification of Information Memorandum of Related Party Transaction in Relation to Share Purchase and Taking Assignment of Claims in Loan To: President

Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992

. TorKhor. 4/2551 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives