Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
relationship between the contractor and the Company or not connected persons as defined under the Notification of the Capital Market Supervisory Board No.TorJor.21/2551, entitled Rules on Connected Transactions
short selling transactions, whether originating from foreign or domestic activities, cause the prices to deviate from the normal market conditions, the public can rest assured that the SEC can and will
bonds; “bondholders’ representative” means a bondholder’s representative whose name appears on the list of the persons who are qualified as bondholders’ representative under the Notification of the
provide another instrument in the debt instrument market. ■ A proposal was made to amend the Royal Enactment on Special Purpose Juristic Persons for Securitization B.E. 2540 (1997) on the issues that are
Statistics of Criminal Actions (As of 31 December 2023) Cases Persons Cases Persons Cases Persons Cases Persons Fraud 0 0 3 17 0 0 3 14 Fail to exercise duty of care 0 0 - - 0 0 - - Disclosure of
Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities
with Thai or foreign laws; (4) there is a reasonable ground to believe that the foreign entity had taken action so that the persons possessing the prohibited characteristics under (1), (2) or (3) would
had taken action so that the persons possessing the prohibited characteristics under (1), (2) or (3) would evade the application of the rules under (1), (2) or (3) by the SEC Office against those
Ref: No 18/2005 Ref: No 32/2019 June 27, 2019 Subject : Promissory note from connected persons and granting financial assistance To : The President The Stock Exchange of Thailand The Board of