Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which

The provisions proposed to be added are as follows:             (1) Provision that will require the association to operate its affairs in accordance with the rules prescribed by SEC Board. If

 Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or

such companies, in which case specify whether the assignment is at least based on the shareholding percentage and whether or not the Company’s rules and guidelines require an approval from the board of

guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of the Executives of Securities

prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of Executives of Derivatives

Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first

Bangkok, February 23, 2015 ? The SEC is seeking public comment on proposed revision of rules governing operational control and information technology (IT) security of the securities companies and

investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

;) accordance with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board and failed to manage PCASH strictly in accordance with the approved mutual fund