Chapter 7. 10 Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital

. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders

Mr. Wiboon Phatrapiboon, Assistant Secretary-General of the Securities and Exchange Commission (SEC), welcomed visitors from the Legal Affairs Division, Chiang Mai University, on the occasion of

Economic Crime Suppression Division. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 28/01/2021

Suppression Division. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 28/01/2021

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:  (1) Prohibiting local securities companies from accepting orders of purchase

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:       (1) Prohibiting local securities companies from accepting orders of

rating reports to the local public. The voluntary rating means more regional scale rating information, which would contribute to the Thai capital market policy to promote foreign investment for risk

) municipality; (4) Bangkok Metropolitan Administration; (5) Pattaya City; (6) such other local administrative organisations designated under the law as special local administrative organisation; (7) juristic