Effective Date 1. Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies
of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied
platform for easy, convenient, and secure access to information. Currently, there are over 140 government services available, providing the public with convenient, fast, and secure information access. The
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
enter into derivatives contract with non-institutional counterparty, providing that the derivatives must be plain vanilla in nature and the purpose must be for hedging risk associated with business
includes units of property fund and instruments with commodities as underlying, providing further that the aggregated investment in the said assets shall not exceed 15 percent of the fund?s NAV; (5
, providing that in cases where any issues under laws of foreign jurisdiction are less stringent than Thai laws, there must be an arrangement of investor protection mechanism comparable to Thai laws;- Home
had revenue from providing services to related companies and the amount of profits with significant impact on the company?s financial statements. In addition, no record on evidence gathering or audit
close down without providing advanced notification to the SEC. The companies, however, must provide service channels for their customers, i.e., submission of trading orders through its headquarters. (2