allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited
possession of prohibited characteristics. − ✓ Only examination on related rules is required. − Remarks: 5 Application must be submitted within 5 years as from the expiration date of the previous approval. 6 A
field and parking lot with Jainnopsiri Company Limited (Held by Mrs. Sirima Iamsakulrat and Mr.Jain Charnnarong) period 10 year since June1, 2020 or the date of possession of the area, whichever the date
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities 31/07/1997 4. Circular 14/2548 31/08/2005 Contact The Securities and Exchange Commission, Thailand