annual financial statements 2015 together with the corrected annual financial statements 2014 and the financial statements for the first, second and third quarters of 2015 to the SEC immediately. The AIE
Building Confidence in the Capital Market No. 11/2018 SEC urges CHUO to cooperate with its auditor and submit financial statements promptly Bangkok, 1 February 2018 – The SEC is urging Chuo Senko
business operation, which shall be available promptly and in a timely manner for covering risks. Clause 7 In providing trading services, a derivatives exchange shall establish a clearing and settlement
shall promptly inform the SEC Office and indicate the reason for failure to maintain such qualifications. If an event as specified in Paragraph 1 occurs and the approval for the offer for sale of the
with correct and complete information promptly. -------------------------------
order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary. “institutional investor”6 means an institutional
performed, and shall be bound or replace itself as a counterparty to the buyer and seller immediately after the derivatives exchange has informed the derivatives clearing house of the relevant trading
capital market because there are few service providers or a replacement of another service provider cannot be arranged immediately; “affiliated company” means a company having any of the following