notification of the SEC on short selling, the deposition or call for collateral form such customer shall be in accordance with the rule as notified by the Office by virtue of the power under the aforesaid
by the Office by virtue of the power under the aforesaid notification. Clause 9/1.4 In the case where the lender is one of the following juristic persons, the business operator and the lender may agree
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
the law governing derivatives and notifications issued by virtue of the said law: 1. person with power of management; 2. director or executive of a derivatives business operator which is a financial
does not possess prohibited characteristics pursuant to the law governing securities and exchange and notifications issued by virtue of the said law. The letter of certification shall be signed by the
imposes the sanction. The SEC Board imposes the sanction. End This is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a
of Securities Companies _____________ By virtue of Section 16/6 and Section 103 (4) of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E. 2551
Capital Market Supervisory Board No. TorThor/Nor/Khor. 26/2551 Re: Rules, Conditions and Procedures for Being Executive of Securities Companies _____________ By virtue of Section 16/6 and Section 103 (4) of
and Exchange Commission No. SorKhor. 22/2553 Re: Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees _____________ By virtue of Clause 3(4) of the Notification of the