NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification. Clause 11. For the purpose of rendering the securities companies to efficiently comply with the regulation prescribed in this Notifiaction with the same level of standard, the securities company
footnotes to financial statement as prescribed by the accounting standard, namely information of financial statement reporting rule, summary of accounting policies which the securities company using for the
to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities business prescribed by an agency or association connecting
Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the Securities and
จะมีการเปลี่ยนแปลงดังกล่าวด้วย 2. การคำนวณเงินกองทุนสภาพคล่องสุทธิสำหรับสถานะเงินลงทุนรายการใดที่มีรูปแบบ นอกเหนือจากที่ได้กำหนดไว้ในคำอธิบายนี้ (non-standard characteristics) เช่น structure notes
: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 as amended by the
. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September