TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 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 and Section 113 of the Sec...

(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. 14 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...

(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...

(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...

back for correcting their financial statements, rectifying their internal control systems, or restructuring their shareholding structure. To avoid these problems, the SEC has provided a checklist, which

)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

will take time until January 2005, the same time for submitting its 2004 financial statements. Therefore, DAIDO has requested the SEC for a waiver from correcting its Q1 and Q2/2004 financial statements

prescribed thereunder by SEC Board, CMSB or SEC Office; or           (2)  Rules that get insignificant revision while maintaining the original essence such as reclassification of subject matter or correcting

The SEC imposed disciplinary penalty on Mr. Chanchai Kultavarakorn, a former executive of a securities company, for not rectifying company operating system as ordered by the SEC and not providing the

/News_Detail.aspx?SECID=9219 SEC Board passes a resolution requiring Bitkub Online Co., Ltd. to rectify work systems to protect investors )    Rectifying the operation under work systems, i.e., the trading system