companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that facilitate problem
J A N G S U S TA I N A B I L I T Y 2 • Set up regulations on climate risk assessments, ESG reporting and disclosure • Strengthen actions on sustainability • Follow country’s policies, rules
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which
Exchange Commission No. SorThor/Nor. 12/2551 Re: Rules for Establishment of Risk Management System for Business Continuity of Derivatives Business Operators _____________ By virtue of: (1) The first
/or subsidiary company pursuant to the Notification of Capital Market Supervisory Board Ref. No. TorJor. 20/2551 Subject : Rules for entering into Material Transaction Deemed as Acquisition of Disposal
mutual fund had been given an approval by the Office in accordance with the rules, conditions and procedures as specified in the notification of the SEC.
for an approval and the granting of an approval shall be in accordance with the rules, conditions and procedures as specified in the notification of the SEC.
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act