mechanism for supervising relevant service providers has also been established to create trustworthiness and increased security. 4 Rules and Regulations Key Points 5. Securities and Exchange Act (No. 6) B.E
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
in Host Jurisdiction. 10 Example 4 (2) The Recognised Representative is required to comply with rules, regulations and any other applicable law that may govern the activities specified in the Framework
Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for and Granting of Approval to Undertake Trust Business dated 4 June 2009, the SEC Office hereby issues the following
Notifications: (a) Notification of the Capital Market Supervisory Board concerning Rules for Approval of Foreign Business for Offering for Sale of Newly Issued Debt Instruments Denominated in Thai Baht; (b
oversee that they are in compliance with rules and regulations of the Securities and Exchange Commission and the Stock Exchange of Thailand as well as other laws related to the company business. 2
Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business
Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the
to strengthen reliability and linkage among the ASEAN capital markets, promote the ASEAN Brand as a world-class product, enhance compliance with the international disclosure standards as well as expand