Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
Commission KorThor. 16/2555 Determination of Types of Securities Having Characteristic Similar with Investment Units 21/12/2012 16/01/2013 3. Notification of the Securities and Exchange Commission KorKhor
, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted
N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003