Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
, giving investment advice, and operating an exchange or trading platform) will be required to seek a license, registration, or exemption from the SEC. 9 III. Other issues 3.1 When ICO portal also invests in
applicant shall pay the fee for submitting an application, as prescribed in the Notification of the Office of the Securities and Exchange Commission concerning Fees for Filing Registration Statement
______________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008), and Section 35, Section 40(11), Section 41(3
reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note
Exchange Act, B.E. 2535 (1992), as amended by the Securities and Exchange Act (No.4), B.E. 2551 (2008), and Section 35, Section 40(11), Section 41(3) and (4), Section 42(10) and Section 43(3) of the
No. Kor Bor Ror. 026/2018 March 6, 2019 President The Stock Exchange of Thailand Sub : Dividend payments, connected transaction, the shareholders’ meeting date, and the dissemination of the meeting
the prospectus and the registration statement. In cases where the capital market products under subclause (1) of the first paragraph are investment units of an exchange traded fund (ETF) which allows