. KorThor. 12/2553 Re: Determination of Undertaking not Deemed as a Derivatives Dealer By virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003) which contains certain provisions relating
investment consultants imposed administrative sanction as Investment Consultant and Director & Executive. /2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative
Estate, Title deed No. 35012, having a land area of 2 rai 2 ngan 52 square wah. The aforementioned transaction is deemed an Acquisition of Assets according to the Notification of the Capital Market
No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By virtue of Section 3 and
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
Commission No. KorNor. 24/2553 Re: Units of Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 as
, and whereas Clause 4 of the Notification of the Securities and Exchange Commission No.KorNor 24/2553 Re: Units of Foreign ETF Deemed as Securities Not Subject to Provisions on Public offering of
the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: 2 (1) proceed to solve the problem described in the complaint rapidly. In case
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an