Notification of the Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification of the Office of the Securities and Exchange Commission Published in Government Gazette Vol. 118 Section: Special 95 Ngor Date: 28 Sept. 01 (Translation) U Readers should be aware that
for management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
management of investments in derivatives; “Office” means The Office of the Securities and Exchange Commission. Clause 2. To ensure that each derivatives fund manager shall conduct its business as a
The Office of the Securities and Exchange Commission (Translation) PAGE (Translation) 7 Readers should be aware that only the original Thai text has legal force and that this English translation is
The Office of the Securities and Exchange Commission (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth Securities Company Limited, had made trading orders before informing the client who did not mak...
securities outside the stock exchange if abiding by the regulations, conditions and procedures set by the SEC Office. Earlier, the law prohibited such companies to trade securities outside the stock
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English
SECURITIES AND EXCHANGE COMMISSION (UNOFFICIAL TRANSLATION) Codified up to No.2 As of 10 July 2015 Readers should be aware that only the original Thai text has legal force and that this English