Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

the Notification of the Capital Market Supervisory Board No.TorJor. 21/2551 7. Size of Transaction: 0.05 % ( Calculated according to the gross value of reward within the disclosure requirement under the

regulations for placement or requirement of margin from the members, including the methods of calculation and adjustment of margin value, consideration and review of appropriateness of the model and factors

the requirement for audit firms to conduct information technology auditing by IT specialists, the most respondents agree. The SEC has drafted relevant regulations by taking into consideration the

business operators wishing to conduct only brokerage business will be allowed to do so with minimum registered paid up capital requirement of 10 million baht. Furthermore, if their businesses are in the form

date to consider arranging an extraordinary shareholders meeting for the election of new directors to fulfil the quorum requirement in accordance with Section 83 of the Public Limited Companies

requirement in the identification and verification process for the onboarding clients who already have relationship managers elsewhere outside the premise or the clients who have a life-time ID card without

requirement for minimum tender offer amount of 10 percent of the total voting rights is waived for partial tender offer;   -In cases where a company?s share buyback results in any shareholder?s voting rights

SEC, the requirement of which has been applicable to providing the said service to retail investor.?Revision of regulations aims at facilitating more convenience for business operation in providing

Bangkok, December 6, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing disclosure requirement of securities issuers in policy and arrangement on anti-corruption