investors in the Thai capital market as well as bright prospect of listed companiesû future growth in 2004 is expected to continue. Highlights SECûs achievements in 2003 in terms of enhancing confidence in
; (2) important tasks concerning derivatives clearing and settlement in a manner that enables the derivatives clearing house to continue its business; (3) guidelines or procedures for business recovery
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market Business Personnel , who
Clause 15 The intermediary shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market
Clause 15 The intermediary shall assign the capital market business personnel who have been approved by the SEC Office under the Notification of the Capital Market Supervisory Board concerning Rules on
shall assign the capital market business personnel who have been approved by the SEC Office under the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Business