Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated
Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an
THE NOTIFICATION OF THE CAPITAL MARKET SUPERVISORY BOARD (Unofficial Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is
investors or the overall capital market. Clause 4 The procedure for operation and the internal control system of the securities trading center under Clause 2(4) (c) shall be in compliance with the following
arbitration procedure between investors and market intermediaries, the introduction of regulations that requires all staff of market intermediaries who are in touch with investors to possess professional
Achievements in 2003 ● 2004 - 2007 Strategic Plan Achievements of the SEC in line with the 4 Strategic Goals 22 GOAL 1 Develop the Thai Capital Market as an Important Alternative for Fund Mobilization and
not categorized as the Company’s connected transaction to the Notification of the Capital Market Supervisory Board No. TorChor 21/2551; however, it is considered under the rule and procedure concerning
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any
and fund voting Supervision of the Securities Exchange Enhancing competitiveness of the capital market Establishment of the Capital Market Development Fund (CMDF) Effectiveness, clarity and transparency
allowing someone else using a securities trading account or a banking account, fraud by management, market manipulation, and insider trading) are which DSI has a responsibility for. Is imposed by the