Recently, the SEC has been notified that some private sector entities have used the SEC’s response letters as references for other persons in various transactions, possibly providing information that
qualifications: (1) using proper language and size of font in order to be legible, explicit and consist with document format, including making emphasis alphabets in case of important statement, for instance
covenant with the following qualifications: (1) using proper language and size of font in order to be legible, explicit and consist with document format, including making emphasis alphabets in case of
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...
Bangkok, March 7, 2014 ? The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC
with the Stock Exchange of Thailand (SET) to expedite the IPO approval process. In addition, the SEC today sent circular letters to all financial advisers requiring them to rigorously perform their due
facilitated. In July 2019, SEC, therefore, issued letters to every type of intermediaries to request cooperation and support from them considering to participate in the NDID project. The project has been
Board of Directors' Meeting No. 2/2020 on the restructure of the shareholding in subsidiary companies (Edited Blue Letters) 17/03/2020 21:09 Notification of the resolutions of the Board of Directors
give a warning. Consequently, the SEC agreed with the committee resolution and issued warning letters to both the securities analyst and the brokerage house. The SCIB-C1 case concerns Ms. Pongrat