provisions of the second and third paragraphs of Section 134 in conjunction with the first paragraph of Section 133 of the SEA.Due to the fact that those four offenders are considered capital market business
provisions of the said Act may be subject to civil sanctions against the offender. Details of civil sanctions and associated procedures are available at: https://www.sec.or.th/EN/pages/lawandregulations
13.7% from 2Q20. When comparing with 3Q19, net profit declined by 16.3% mainly from the increased in provisions as a result of the continued uncertainties from the economic slowdown as impacted by COVID
provisions governing the rights and obligations of the issuer and holder of structured notes. “bondholders’ representative” means a bond holder’s representative whose name appears on the list of the persons
report on the financial statements of businesses prescribed under such provisions or regulations shall be an auditor who is approved by the SEC Office; therefore, in support of such purpose, the SEC Office
the Securities and Exchange Act B.E. 2535 (1992), which contain certain provisions relating to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section
customers 85 204 -58% Other payables and accrued expenses 7,112 3,506 103% Accrued interest expenses 4,806 3,969 21% Provisions 284 3,156 -91% Other current liabilities 377 346 9% Total current liabilities
: (1) accept purchase or redemption of investment units in the number specified in the relevant purchase or redemption order that is placed on a trading day. The provisions of paragraph one shall not
investors and other users of credit ratings assess credit risks. Maintaining the independence of CRAs vis- à-vis the entities and obligations they rate is vital to achieving this goal. Provisions of the IOSCO
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital