Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities (4794) 03/08/2009 01/09/2009 Circular SEC. Nor Phor. (Wor) 27/2558 Clarification on Short Selling and
/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession (5347) 27/04/2010 16/05/2010 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi
capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or holding securities for investment by the securities company itself; (3) Bearing a
services supporting the full business cycle and consistent with actual needs. Products and services are offered in ways that are easy, convenient, and fast. Focus has also been on knowledge-based assistance
provide assistance to our clients, upstream to downstream, along with loan products and cash management services to support them at every stage of their business operations for their sustainable growth. So
promoting business opportunities. To help our customers stay afloat during the economic slowdown, we introduced assistance measures for cash-strapped customers, namely moratorium in principal, debt
Laws and Regulations, the Host Regulator will take enforcement action against the Recognised Representative with the assistance of the Home Regulator to the extent permissible under the Laws and
or lease of real estate, transactions related to assets or services or granting or receipt of financial assistance through receiving or extending loan, guarantee, providing assets as collateral, and
information technology. As such, the audits of complex entities encountered obstacles and needed assistance of experts in the field. The SEC, as a result, invited technological experts to instruct and share
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...