Services to Clients of Securities Companies and Derivatives Intermediaries (No. 2) dated 3 June 2014, the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is
Intermediaries (No. 2) dated 3 June 2014, the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is prescribed in details of appointing an independent director as
or its staff. Clause 14 A management company shall require the representative to completely keep updated evidentiary documentation as for providing services to clients. In this regard, such documents
Private Funds (no. 2) dated 21 July 2014. However, the grace period for transition is permitted by Clause 10 of the Notification thereinafter which management company shall arrange the appointed juristic
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014.In addition, failure to comply with Clause 14(2) of the Notification No. SorKhor
rules were deemed as a violation of Clause 14(2) of the SEC Office Notification No. SorKhor.49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated October 14, 2009 and Clause 20(2) of
Redemption and Marketing Representatives of Private Funds (No. 2) dated 21 July 2014. However, the grace period for transition is permitted by Clause 10 of the Notification thereinafter which management
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete