essential to establish regulations ensuring that Thai securities companies, under the supervision of the SEC, implement stringent processes and systems for screening and monitoring. This will ensure that
share prices of Focus Development and Construction PLC (FOCUS) and Inter Far East Engineering PLC (IFEC) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders
The Royal Ceramic Industry PLC (RCI) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders, and helping with related financial transactions. The Appeal Court
counterpart (cross-border product).” The SET has developed a new trading platform to support DR trading with the underlying in the Asia and Americas time zone. The platform can also support the sending of
ETF operator are subject to supervision of foreign regulator which is a member of International Organization of Securities Commissions (IOSCO); (2) having objective to create return for unit holders
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
following matters in Thailand: (a) disclosing and sending [i] information of the scheme as required by law or regulations under the responsibility of home regulator to investors or [ii] any other information
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company