the approval of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “securities company” means a company licensed to undertake securities
management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into such transaction
mutual fund management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
company is required to disclose information memorandum pertaining to the transaction to the Stock Exchange of Thailand, as well as to seek an approval for entering into such transaction from the
620/5 Moo 11 Nongkham, Sriracha, Chonburi 20230 Thailand Tel. 66-38 480-020-1 FAX. 66-38 480-080 (Translation) AF.006/2019 27 February 2019 Subject : Approval of transaction contract of rent with
, received, stored or processed through electronic procedures; “securities company reporting https://publish.sec.or.th/nrs/6999se.pdf 21061047.pdf technology solutions for electronic devices 3. providing
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
damage client's assets. In case of {C}, the SEC received a report from securities company that had disciplined {C} after findings indicated that he had sent inappropriate trading orders in a manner that