Re: Administrative Procedure under the Derivatives Act B.E. 2546 and the Trust for Transactions in the Capital Market B.E. 2550 (As Amended)
Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation (No. 2)
Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
detailed procedure in calculating such profit, loss, benefits or returns; (4) potential risks from entering into derivatives transaction including the factors causing risks and the range of damages in the
consideration 3. Approved the appropriate price range of the value of assets disposal according to opinion of an Independent Financial Advisor in a total of 1,636.50 - 1,684.50 million baht and set criteria for
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the