reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment
personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC
, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
of Thailand nor to obtain an approval from its shareholders in accordance with the Notification of the Capital Market Supervisory Board No. ThorChor. 20/2551 Re: Rules on Entering into Material
trading. The acts of {A} and {B} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market
Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take effect from 16 June 2021. To ensure that business operators
. In this regard, the SEC has issued two Notifications of the Capital Market Supervisory Board and one Notification of the Office of the Securities and Exchange Commission (Enclosures 1-3), which take
e-service Online Submission Mutual Fund >> Type Title Section See document Status Notified Date Effective Date 1. Notification of Capital Market Supervisory Board 23/2556 04/04/2013 01/05/2013