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
government agency and state enterprise under the law on budgetary procedure; (8) the Financial Institutions Development Fund; (9) a juristic person having total assets of five hundred million baht or more
. Notification of the Securities and Exchange Commission Kor.Dor. 17/2539 Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar (Codefied
? Procedure for Civil Sanctions In cooperation with public prosecutors to proceed this step The SEC Office invites the alleged to undertake the civil sanctions determined by CSC. The offender shall comply with
defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed
revision process. The final Draft Act will be submitted according to the National Legislative Council's procedure in due course.?In addition to the legislation, the SEC is simultaneously working to remove
will also require NMG Chairman of the Board to make clarification according to normal procedure. If non-compliance with the said provision is found, the SEA prescribes the penalty under the first