ประกาศคณะกรรมการกำกับตลาดทุน UNOFFICIAL TRANSLATION Codified up to No. 3 As of 4 January 2013 Readers should be aware that only the original Thai text has legal force, and that this English

each client that contain accurate, complete, and up-to-date information in the event of returns mandate of client assets.   The SEC emphasizes the importance of monitoring the operations of business

consideration of issuing a license within sixty days from the date on which the SEC Office receives the application and supplementary documents in full. The Securities and Exchange Commission shall complete its

shall complete its consideration within thirty days from the date on which it receives the matter from the SEC Office. The license for gold derivatives brokerage business shall be in the form attached to

Microsoft Word - Ref FPI.012.2018 Addition -09.05.2018.doc Ref. FPI.012/2018 26 April 2018 Subject Acquisition of up to 40% shares of total paid-up capital in TSE Overseas Group Company Limited

Microsoft Word - Ref FPI.012.2018 Addition -1.doc Ref. FPI.012/2018 26 April 2018 Subject Acquisition of up to 40% shares of total paid-up capital in TSE Overseas Group Company Limited (Addition) To

Microsoft Word - Ref FPI.012.2018 Addition.doc Ref. FPI.012/2018 26 April 2018 Subject Acquisition of up to 40% shares of total paid-up capital in TSE Overseas Group Company Limited (Addition) To

these amendments is to require advertisement and disclosure of trigger funds to be more inclusive to give investors a clearer picture of this type of fund so that they would have correct and complete

company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The

, efficiently and up to date. Clause 9. The securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be