Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
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approval for EJIP must be submitted to the SEC because the offer for the sale of shares to executives must be reported pursuant to section 59 of the Securities and Exchange Act which may be burdensome and
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
in order to stabilize the financial system. Nevertheless, as the COVID-19 situation has shown no clear sign of improvement and may persist throughout the first half of this year or beyond, pending the
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such