Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The
information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit
period until the applicant has corrected the application or submitted additional documents fully according to the record of defect. (Unofficial Translation) 2 Service Channel Location: The Securities and
) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the
(English) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant
seeking approval of investment analysts to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be
processing period until the applicant has corrected the application or submitted additional documents fully according to the record of defect. (Unofficial Translation) 2 Service Channel Location: The
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
Bangkok, June 26, 2013 ? The SEC will relocate to the following address with effect from July 2, 2013.Location : Securities and Exchange Commission (SEC) 333/3 Vibhavadi-Rangsit Road
workshop to exchange information on cyber scams as well as identification and examination of crypto nominee accounts for representatives from public and private sectors. On this occasion, Ms. Jomkwan