Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013 , in conjunction with Clause 12(2) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
translation is strictly for reference. 3 Notification of the Office of the Securities and Exchange Commission No. Sor Lor Thor. 8/2557 Re: Approval of Personnel in the Capital Market Business
securities by a person having duties to submit the registration statement and draft prospectus to the SEC Office in accordance with the following Notifications: (1) the Notification of the Capital Market
Fund Act, the Derivatives Act, or the rules prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board, the Office, the Board of Directors of the SET, or the SET; (2) The
in a line of work relating to money market or capital market, or work experience in the management level that is beneficial to management of securities business or work experience from being an
NOTIFICATION OF THE SECURITIES AND EXCHANGE COMMISSION (Translation) PAGE (Translation) 8 Readers should be aware that only the original Thai text has legal force and that this English translation is
.: (a) Various securities activities or related activities such as derivatives market, securities borrowing and lending; (b) New types of securities or related financial instruments such as derivatives
SECURITIES AND EXCHANGE COMMISSION TRANSLATED VERSION codified up to No.5 as of June 5, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation
Notification 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