compensation report under (1). (3) Announce name(s) of mutual fund(s) which makes a price correction under (2) and the price correction date thereof under (2) in at least one daily newspaper within three
convenient, expeditious and fair for investors, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as form 16 May
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
By virtue of Section 126 (1) of the Securities and Exchange Act B.E. 2535 (1992) and Section 139 (5) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
undertaking of derivatives business in the category of derivatives investment advisory. By virtue of Section 14(4/1) of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
Director [ ] Independent Director and Member of Audit Committee Executive [ ] Executive (please specify title in the company) Date of Appointment : Part 1 : General Information 1.1 First name / Last name (in
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
Derivatives Intermediaries ______________________ By virtue of Section 98(6) of the Securities and Exchange Act B.E. 2535 (1992) and Clause 5(1), in conjunction with Clause 12(3) and (12), Clause 14, Clause 30