SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
Repeal of Notification Concerning Approval for Auditors of Company Approved to Issue and Offer for Sale of Newly Issued Derivatives Warrant to Facilitate and Rehabilitate or Restructure Debts of the
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has
(New) Initial Public Offering : Equity (by issue) ( 11 record(s) found) No. Report Name Data File As of Data Definition 1 Initial Public Offering : Equity (by issue) 2023 Click here to display all