position under the first paragraph has any of the prohibited characteristics as prescribed in Section 23, the SEC Office shall have the power to instruct the derivatives business operator to suspend such
requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied
not necessary for some types of capital market products; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct appropriate
.. UNOFFICIAL TRANSLATION Codified up to No. 5 As of 23 March 2015 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 Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the Capital Market Supervisory Board relating to the issuance and offering for sale of securi...
longer intends to submit the registration statement and the draft prospectus. In the matter of making an order under Paragraph 1, the SEC Office may instruct the offeror to disclose the order, execution
on the Securities Exchange, the SEC shall instruct the Securities Exchange to amend or modify or revoke such undertaking.” SECTION 20 The provision in Section 159 of the Securities and Exchange Act B.E
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...