benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that
แบบแสดงรายการขอมูลการเสนอขายตราสารหน้ี (รายครั้ง) (แบบ 69-DEBT-PO-GOV.AGENCY) บริษัท........... (ช่ือไทย/อังกฤษของผูเสนอขายตราสารหน้ี) ............. เสนอขาย ......................................................................................................................... ......................................................................................................................... ....................................................................................................
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that has been
from the number of contracts under the licensee ’s service on the Derivatives Exchange. In case of single stock futures at the price not exceeding 100 baht, the licensee shall pay the fee at the rate of
In mid-2021, the DSI requested that the SEC further investigate the facts and evidence in a case where the SEC had filed a criminal complaint,* due to suspicious circumstances suggesting that IEC
urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous