custody. This revised definition will help to mitigate excessive burdens in maintaining net capital. The relevant notifications of the amendments*** will come into effect on 16 August 2024 onwards
. The Notifications regarding the amended regulations* have been published in the Government Gazette and have become effective since 16 September 2024. Mr. Anek Yooyuen, SEC Deputy Secretary-General and
the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant for 4
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56...
Approval for Offering for Sale of Structured Notes and relevant notifications. - 4 - SEC Classification : ใชภ้ายใน (Internal) (1) Spending of the money obtained from each offering of equity or debt
of business operators to support weekly reporting of granular data per client and per securities. The notifications* concerning the amendments will take effect from 1 December 2024 onwards.**Remark