come into force from 1 November 2013. Notified this 16th day of October 2013. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
3th day of June 2014. - Signature - (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission TRANSLATED VERSIONAs of June 3, 2014 Readers should be aware that only the
. Notified this 3rd day of June 2014. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission Remark : The contents in brackets [….] have been provided in
Proprietary Trading of Securities and Derivatives for Derivative Brokers. Notified this 7th day of April 2015. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission
. - Signature - (Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission 3 Amended by the Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 44
Notification at the first opportunity but not later than 2 years as from the effective date of this Notification. Notified this 17th day of May 2013. - signature- (Mr. Vorapol Socatiyanurak) Secretary-General
shall amend such agreement in compliance with the regulations at the earliest occasion but not later than 1 January 2017. Notified this 10th day of November 2014. (Vorapol Socatiyanurak) Secretary-General
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
the first paragraph, the persons shall be subject to the regulations under Chapter 6 and Chapter 7 as well. Notified this 3rd day of June 2014. - Signature - (Vorapol Socatiyanurak) Secretary-General