compliance therewith. Clause 23 In the case where the SEC Office finds that any securities company violates or fails to comply with this Notification or the rules issued by the securities company , or acts
related to the matters specified in this Notification for clarity in practice and for the SEC Office’s examination of the compliance therewith. Clause 23 In the case where the SEC Office finds that any
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this Notification or the regulations and guidelines specified by the derivatives
appeal that finds that it is not the case under Clause 21 or the appellant has rectified the appeal within period specified by order of the Secretary- General under the first paragraph of Clause 21, the
Microsoft Word - ชซ. 62-2561 ฆาร๕สฎà¸à¸‡à¸²à¸¢à¸«à¸¸à¹›à¸Žà¸†à¸¹à¹›à¸ªà¸†à¸¸à¸¥à¹•à¸⁄à¸´à¸Žà¸Łà¸£à¸²à¸Łà¹‹à¸²à¸⁄à¸łà¸£à¸°à¹•à¸Šà¸¨à¹…à¸Žà¸łà¸£à¸°à¹•à¸Šà¸¨à¹—à¸Šà¸¢_111261 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 62/2561 Re: Offer for Sale of Bonds Denominated in Foreign Currency in the Kingdom of Th...
verify the proposed transfer of the debt securities. If the approved foreign entity finds that the proposed transfer is contrary to the transfer restriction registered with 24 the SEC Office, the approved
during the time period when the mutual fund management company finds a redemption price to be incorrect as set forth in Clause 15, and the mutual fund supervisor has not yet certified the relevant
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 17/2561 Re: Application and Approval for Offer for Sale of Newly Issued Debt Securities _______________________ By virtue of Section 16/6 and Section 89/27 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (...