client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation
Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014.In addition, failure to comply with Clause 14(2) of the Notification No. SorKhor
January 18, 2012 and Clause 23(2) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. In addition, failure to comply with
, accordingly, issued warning letters to all members of audit committee to strictly comply with the duties in the future. In this regard, all audit committee members resigned earlier.Information contained in this
. The above barred periods of serving as director or executive in securities issuing companies or securities companies will take effect when the offenders sign a letter of consent, agreeing to comply
statement and draft prospectus shall comply with the following rules: (1) Procedures for Submitting a Registration Statement and Draft Prospectus and Fees shall comply with the provisions under Chapter 2; (2
entity under Clause 6(6) and obtained the license prior to 1st January B.E. 2555, shall maintain shareholding proportion to comply with that specified in Clause 6(6) until 31st December B.E. 2554; (6) the
lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1