investors can trade securities or derivatives. Any persons who wish to operate a business as a secondary market must apply for a license from the Securities and Exchange Commission (SEC Board). And after
Professionals > Appraiser Regulations SHARE : Detail Content Ap praiser Due to the information relating to asset appraisal regarding capital market transaction is significant and has impact on making
Operating Income for Annual Transaction Levy Calculation (Form 14-2) (Notification No. SorThor/Nor/Yor. 59/2546) To be filed by January 31 of the following year, together with the 1st installment of the
• Mutual Fund Management ○ Advertising ○ Procedure for Incorrect Pricing ○ Procedure for the default by Issuer ○ Transaction with Connected Person ○ Liquidation ○ NAV Calculation
following: The Thai Bond Market Association The Association of Thai Securities Companies The Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act
Related transaction Evaluation report of the internal control system by Internal Auditor (IA) Management Discussion & Analysis (MD&A) Events and factors substantially affecting the operation or financial
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of
limitation period of the civil cases which may be requested for a Class Action in order to deal with the offence or liability under the Securities and Exchange Act B.E. 2535 (1992) and amended versions (“the