the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
experience in investment by providing a community web board or a channel for investment analysts to give advice shall not be liable to presenting oneself to the general public as being ready to give services
persons, for example, seeking or exploiting any benefit for oneself, securities companies or other persons by virtue of own position or committing a fraud in an examination. Division 2 Effects of Possessing
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
Exchange Commission No. SorThor. 18/2551 Re: Office Hours and Holidays of Securities Companies _____________ By virtue of Section 108 and Section 110 of the Securities and Exchange Commission Act B.E. 2535
are deposited by securities company for the client’s benefit; (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such securities
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
requirements by the intermediaries, the SEC Office, by virtue of Clause 5(3) in conjunction with the first paragraph of Clause 12 (11) and (12) and Clause 14 of the Notification No. Tor Thor. 35/2556 , hereby