regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor; “client” means user of an intermediary’s services; “Stock Exchange” means the Stock Exchange of Thailand
. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
Stock Exchange of Thailand (SET), notifying the Board of Directors’ meeting resolution, revising the opinion of the Board and the Audit Committee from unanimous approval of the IFA’s report to approval
ที่ กม (TRANSLATION) No. Gor.Mor. 25/2561 May 15, 2018 President The Stock Exchange of Thailand Dear Madam, Transaction of Warehouse Lease with Related Persons The Board of Directors’ Meeting of
International Company Limited from existing shareholders as the Stock Exchange of Thailand queried Attn.: The President The Stock Exchange of Thailand As per queried by the Stock Exchange of Thailand (SET) on
securities firms or derivatives business operators can be done without the SEC?s approval but will be allowed to the extent that it is deemed necessary to increase business efficiency. Importantly, outsourcing
Bangkok, November 9, 2010 ? The SEC Board Meeting No. 14/2510 today passed a resolution permitting foreign exchange traded funds (ETFs) to be listed on the Stock Exchange of Thailand (SET) on the
financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of