Re: Rules, Conditions and Procedures for Approval of Securitization Projects
The Approval of Personnel in the Capital Market Business
(effective on 1 January 2018). 2 “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
of newly issued securities of any type except share by a foreign company which has been granted an approval for a public offering of newly issued shares in accordance with any notification; (3) an
. Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining Approval and Granting to Perform Trust Business ___________________________________ By virtue of
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted