are not worth the cost of complying with such requirements or conditions; (2) the applicant is subject to restrictions under other laws, either Thai or foreign laws, that do not allow the applicant to
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the website of the SEC
have opportunities for further improvement especially on the board responsibilities conforming to the best practice guidelines. The SEC together with The Stock Exchange of Thailand, Thai Institute of
applicant shall arrange a financial advisor, whose name appears in the SEC Office’s approved list, to jointly prepare an information in a notice calling for shareholder’s meeting in conforming to Clause 12
4,900,000 shares at 10.00 Baht per share (par value) in total not more than 49,000,000.00 Baht, this transaction is considered as the asset conforming to the announcement of The Stock Exchange of Thailand
using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover the extreme but possible events of market volatility; (2) a quarterly
, by at least conducting the following tests: (1) a daily stress test using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover
Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In