approval or register from home regulator. “ASEAN country” means any ASEAN country which is both a member of the International Organization of Securities Commissions (IOSCO) and a signatory A to the

Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4

under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand (issued by CIS Operator

trust (unit trust) having objective to invest in securities or financial instruments; “home regulator” means capital market supervisory agency of country where foreign collective investment scheme has

The SEC’s instruction followed the latest developments within IFEC organization, namely the resolution of IFEC Extraordinary Shareholders’ Meeting No. 1/2561, appointing new directors to fill in the

decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his

Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

of Shock Market Regulator. According to the Notification of the Board of Stock Market Regulator No Tor Jor 20/2551 Re: Principal of the material transactions that are considered to be under the

Bangkok, June 12, 2012 - The SEC today signed a Memorandum of Understanding (MOU) with the Financial Services Commission (FSC), the capital market regulator of the Republic of Korea (South Korea), to

accounting and auditing standards. The event aims to promote audit regulator and audit firm cooperation, boost audit quality in the region while enhance reliability of financial reports of companies in ASEAN