Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction
DCORP 024/2019 May 14, 2019 Subject Report on the overall operation for first quarter of the year 2019 ended March 31, 2019 and the decrease in the overall operation more than 20 percent Attn President
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
Conduct Fees Related Circular Letter Securities Brokerage Business Business Operation Rules Securities Underwriter Business Business Operation Rules Securities Dealer Business Business Operation Rules
as a requirement that the holders of a certain percentage of the debt securities have instructed the representative to take certain action. 1 “senior management” shall refer to the term of “executive
contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of
Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008), and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), which contain certain
DCORP 084/2018 November 14, 2018 Subject: Report on the overall operation for first 9 months of the year 2018 ended September 30, 2018 and the decrease in the overall operation more than 20 percent
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking