Section 45 of the Constitution of the Kingdom of Thailand so permits by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The Notification of the
) in Thailand with the SEC directly without the need to obtain a prior approval from the Ministry of Finance; (2) Requiring the foreign issuer of baht bonds to (i) obtain an issue rating not lower than
... (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC Thailand cannot undertake
TRANSLATED VERSION As of November 21, 2012 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference Notification of the
Pursuant to the Notification of the Office of the Securities and Exchange Commission No. Sor Bor. 28/2547 Re: Determination of Fees for Filing of Registration Statement, Registration and Other
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. SorThor/Khor/Nor. 53/2553 (2010) Re. Forms for Financial Statements of
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the