Notification: “ institutional investor ” means an institutional investor as defined by the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

failure to prepare and submit the result of the bonds sale report for institutional investors (II) within the period specified in the notification of the SEC resulted from the instruction or the failure to

125 companies. The event was held on 25 June 2024, in Bangkok.The SEC recognizes the importance of the involvement of company directors in managing organizational cyber risks, emphasizing a “tone from

Relations Division, the Organizational Management Division, and the Digital Technology Division; and4. Ms. Sucha Boonyanate, Deputy Secretary-General, overseeing the Fundraising Division and the

and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used

work divisions, and the appointments of deputy secretaries-general and assistant secretaries-general. The new organizational strategy aims to push forward capital market development in accordance with

has an organizational structure that complies with good corporate governance principles, an internal control system, and disclosure of sufficient information. The issuer's ability to operate

principle that the asset classes eligible for the repurchase (repo) and reverse repurchase (reverse repo) agreements between the securities companies and non-institutional investors be extended to include