the following offices: (1) domestic branch office; (2) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are

Microsoft Word - Representative 2551_en_final (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for

examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for

Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the

Bangkok, December 23, 2015 ? The SEC is seeking public opinions on a draft amendment to the regulations on information technology security management of securities companies and derivatives intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and cloud computing to offer services.? The amendment to the governing regulations has taken into consid...

’ representative appointment agreement. This initiative aims to facilitate and reduce costs associated with appointing a bondholders’ representative for bond issuers according to standardized procedures

The SEC emphasizes the significance of the roles played by the “bondholders’ representative,” who serves as a crucial mechanism for safeguarding and advocating for bondholders. The bondholders