Securities and Exchange Act 2535 103 12/03/1992 16/05/1992 2. Act Securities and Exchange Act 2535 104 12/03/1992 16/05/1992 3. Notification of Capital Market Supervisory Board Tor Lor Thor. 8/2557
personnel in the capital market business, the bank must not allow him to perform the duty of branch manager, in relation to the capital market business.*Clauses 20(1) of the Notification of Capital Market
&doc_id=5913&SearchNo= Notification of Capital Market Supervisory Board TorJor. 25/2557 Issuance and Offer for Sale regarding Units of Real Estate Investment Trust (No. 3) http://capital.sec.or.th/webapp
. *** The five relevant regulatory notifications are as follows: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 60/2566 Re: Application for Approval of Public Offering of Newly Issued
Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor. 9/2554 Short Selling of ETF and Securities Being Underlying of ETF by a Securities
March 23, 2015. * Failure to completely record client?s trading orders was in violation to Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for
prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of
financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification