to improve their supervision and surveillance capabilities. This training will ensure the Thai market remains even with international counterparts; with a primary goal of preventing negative impact on

at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https

Agreement including other relevant transaction documents, and also approve to process as deemed necessary and appropriate, in order to ensure the Entire Business Transfer and Securities Allocation Transaction

to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and

paragraph, the trust instrument would be able to determine the process of reducing paid up capital for such cases without a resolution from the meeting of the unitholders as prescribed in sub clause (3) (b

securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of

/1.6 For the purpose of supervision the undertaking of securities brokerage of securities company, the term “personnel” and “employee” under this Notification shall also include any person who is

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates

“Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates derivatives business in