Currently, rules on providing investor services and communication of securities company regarding offering for sale of high-risk or complex capital market products do not cover the provision of NC
. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014 and Clause 31(1) of the same
file a criminal complaint for further legal proceedings. -------------------------------1 Clause 23(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules
: * Notification of the Capital Market Supervisory Board No. Tor Thor. 29/2567 Re: Rules and Periods for Report Submission of Securities Companies, dated 6 September 2024: https://publish.sec.or.th/nrs/10382p_r.pdf
support foreign investors’ participation in the Thai capital market without being subject to the foreign limit. The amendment also aims to prevent the misuse of NVDR securities as a tool for evading
Operators B.E. 2559 (2016) ______________________ By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Clause 2 of the Notification of the Capital Market Supervisory Board No
. 2559 (2016) ______________________ By virtue of Section 110 of the Securities and Exchange Act B.E 2535 (1992) and Clause 2 of the Notification of the Capital Market Supervisory Board No. TorThor. 88
the Notification of the Capital Market Supervisory Board No.TorJor. 21/2551 7. Size of Transaction: 0.05 % ( Calculated according to the gross value of reward within the disclosure requirement under the
above transaction does not meet the criteria that require to be proceeded in compliance with the Notification of the Capital Market Supervisory Board No. ThorJor. 20/2551 entitled Rules on Entering into
perform duties or provide services honestly and a wrongful treatment of investor assets in contravention of the governing Notification of the Capital Market Supervisory Board. The SEC therefore revoked his