operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
, the total size of transactions does not exceed 15% of CPN
derivatives exchange for the acknowledgment of members or involved persons of the derivatives exchange. Clause 17 Derivatives exchanges shall establish adequate measures to prevent directors, executives, sub
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
least the following matters: (1) the raising capital of the REIT has to be proceeded by the REIT manager; (2) objective for raising capital; (3) procedure for raising capital which is in accordance with
prepare and submit its operating plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access. 3 In the case where it is appropriate or
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess