to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a securities borrowing and lending agreement
have in place a securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts
through public consultation. Final approval of Sector Criteria is given by the CBSB. Industry Working Group (IWG): A group of key organisations that are potential issuers, verifiers and investors convened
of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No https://publish.sec.or.th/nrs/3584pe.doc 8264p.doc audit firm, hereby certify and consent to the
, enacted by the Majesty the King, by and with the advice and consent of the National Legislative Assembly, as follows: SECTION 1. This Act shall be called the "Derivatives Act (No. 2), B.E. 2551". SECTION 2
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in