become effective when the relevant securities business license has become effective. The derivatives business license shall be in the form attached hereto. Clause 13 The derivatives business licensee shall

cases: (1) the licensee shall commence operation of securities business in the category specified in the license only after the SEC Office, having completed its inspection, is of the view that the

) amount -5.56 Million Baht compare with the same period (Q.2) for the previous year amount -2.97 Million Baht. As the company has completely changed the licensee agreement for Protective Coating technology

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

Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak

Licensee List and more information are available on www.เสี่ยงสูง.com. In case of tips on suspicious acts, please call SEC Help Center at 1207 so that the SEC can conduct further investigation. In case of

personnel. The SEC also proposed to emphasize significance of ?compliance officer? by requiring LBDU licensee and derivatives broker appoint at least a compliance officer with specified qualifications.The

management to asset management licensee will be permissible, subject to the specified rules. In addition, REIT holding limit will be relaxed where a REIT trustee will be able to hold up to 50 percent of the

Licensee : Advance Wireless Network Co.,Ltd (AWN) Licenser : The National Broadcasting and Telecommunications Commission (NBTC) Relationship : None Page 2 of 7 3. General characteristics of the transaction

TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had