shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
Infrastructure Asset in Part 4. In the case where the approval for the establishment of a fund is terminated under the rules in Division 3 of Chapter 2, the management company shall proceed in accordance with such
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
ตลาดหลักทรัพย์ C:\Users\lalidac\AppData\Local\Microsoft\Windows\Temporary Internet Files\Content.Outlook\UUHTEH5S\ประกาศวันหยุดเพิ่มเติม 11 สค 57.doc
SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of
จาตุศรีพิทักษ์) รัฐมนตรีว่าการกระทรวงการคลัง ประธานกรรมการ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ C:\Documents and Settings\orawanp\Local Settings\Temporary Internet Files\OLKC3\ร่างประกาศชื่อสถาบัน