and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come
, Section 43, Section 44 and Section 64 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
Permission of Securities Business in the Category of Securities Financing B.E. 2555 (2012), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come
the Capital Market Supervisory Board under Section 6 of the Derivatives Act (No. 2) B.E. 2551 (2008) , hereby issues the following regulations: Clause 1 This Notification shall come into force from 1
Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following
hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 July 2014. Chapter 1 General Provisions Clause 2 In this Notification, application form and the tables
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for