Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services 20/04/2009 16/05/2009 4. Notification of the Office of the
Effective Date 1. Notification of the Office of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies
of the Securities and Exchange Commission Sor Thor. 35/2557 Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied
involved; Providing agencies with sufficient powers to regulate and monitor market behavior, * The participating Asian economies include: Bangladesh, China, Hong Kong China, India, Indonesia, Korea
had revenue from providing services to related companies and the amount of profits with significant impact on the company?s financial statements. In addition, no record on evidence gathering or audit
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing