reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the
Clause 11 of the Notification of the Capital Market Supervisory Board No. Tor Jor. 10/2556 Re: Submission of the Registration Statement for an Offer for Sale of Debt Securities dated 11 March 2013
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permits by virtue of law, the SEC Office hereby issues the following regulations: Clause 1 The Notification of the Office of the
Market Supervisory Board hereby issues the following regulations: Clause 1. In this Notification: The terms “institutional investor” and “high net worth investor” shall have the same meaning with such