version is prepared by staff of the Legal Department with the sole purpose of providing foreigners with information concerning the Securities and Exchange Act (No. 4) B.E. 2551 Accordingly this second draft
course of business to the public whether directly or indirectly concerning the value of securities or the suitability of investing in those securities or the purchase or sale of any securities in
. "investment advisory service" means giving advice in the normal course of business to the public whether directly or indirectly concerning the value of securities or the suitability of investing in those
ordinary course of business, gives advice to others, or holds himself out to the general public as being ready to give advice to others, whether directly or indirectly, concerning derivatives or 3
the following information to the SEC Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation
Office in accordance with the rules, procedures and conditions as specified in the notification of the SEC: (1) reports concerning the results of business operation and the financial conditions; (2) any
misleads other persons regarding the price or volume of the securities trading; (2) placing a securities trading order or trading securities on a continued basis with an intent to cause the price or the
operation of the Securities Exchange including contingency measures to accommodate any emergency situations; (2 ) system for securities trading, system for recording and disseminating information regarding
shall be repealed and replaced with the following provision: “Section 5. The SEC shall have the following powers and duties under this Royal Enactment. (1) to formulate policies concerning securitization