the Capital Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “Securities
. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
hereby issues the guidelines for application and approval for appointment of person to be director or manager of a securities company as follows: Clause 1 The Notification of the Office of the Securities
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The transferable subscription right (TSR) shall be determined as a security under Section 4 of the Securities and Exchange
Section 14 and Section 67 of the Derivatives Act B.E. 2546 (2003), the SEC Office hereby issues the following regulations: Clause 1 Any licensee of derivatives exchange business who wishes to arrange for
Section 22 of the Derivatives Act B.E. 2546 (2003), the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. Operators of derivatives business wishing to apply
Manager B.E. 2552 (2009) __________ By virtue of Clause 3 (1) and (2), Clause 11, Clause 19(6) and Clause 20 of https://publish.sec.or.th/nrs/5197pe_r.pdf Translation Exchange Commission Governing Rules
any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly without professional due care is in violation of Clause 23(2) and he is deemed to have the prohibited
._______________________________ * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
*The persons in (1) and (3) were in contravention of Clause 31(1), Clause 33(3) and Clause 35(2) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on