complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
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. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
Shareholders No. 1/2021 (Change PDF clarity) 24/08/2021 20:15 Acquisition of assets and determination of the meeting date, the date to determine the name list of shareholders being entitled to attend the meeting
related party transactions as well as the re-definition of relevant terms to increase clarity and flexibility. In so doing, the SEC refers to international regulatory guidelines and takes into account the
promotion of other types of mutual funds to enhance clarity and appropriate flexibility for such activities. The consultation paper is available at www.sec.or.th. Stakeholders and interested parties are
different types of securities offering, to improve clarity and practicality. The notification of the amended regulations has been published in the Government Gazette and will take effect as from 1 July 2023
for greater clarity the qualifications of the IPO applicant in the part of non-involvement in any illegal business by excluding any insignificant misdemeanor or any wrongdoing not directly related to