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...
Notification of the Office of the Securities and Exchange Commission No. Sor Mor. 18/2564 Re: Measures on Fee Deduction for Filing the Registration Statement for Securities Offering and the Annual Registration
According to the Notification of the Office of the Securities and Exchange Commission No. Sor Mor. 18/2564 Re: Measures on Fee Deduction for Filing the Registration Statement for Securities
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
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
Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions
SAMART TRAFFIC COMPANY LIMITED (SMT) SAMART TRAFFIC COMPANY LIMITED (SMT) offered for sale newly issued securities in the category of debentures and bills without obtaining an approval from the SEC