our promotion of overseas investments, strengthened enforcement on insider trading, share manipulation, executive misconducts, accounting frauds, false documentation of securities issuance and offering
and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 3. Notification of the Office of the Securities and Exchange Commission 12/2542 (Synopsis) 05/10/1999 4
e-service Online Submission Executives/Major Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Type Title Section See document Status Notified Date Effective Date 1
TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 9. Notification of the Office of the Securities and Exchange Commission
e-service Online Submission Derivatives Fund Manager Business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 35
Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 11. Notification of the Office of the
/2009 7. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 8