://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/SECONDARYMARKET.aspx English (United States) SecondaryMarket . Securities Registrar Provides service in preparing and maintaining the register book of securities
exempt from preparing and filing reports for all categories, except report of clients’ assets as prescribed in Clause 3(3), commencing from the month in which the business operation ceases. Such exemption
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1
of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision
cooling off period will be 14 days. In addition, Financial Advisor is required to cooperate with the issuer of the securities in preparing and submitting such Filing; and (3) The offering period for such
. Notification of the Office of the Securities and Exchange Commission OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. 23/03/2006 01/04/2006 Contact The
network and to raise the awareness of relevant laws.SEC will consider preparing an operational plan to accommodate the above-mentioned meeting and discussion by July this year