misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of a Derivatives Business
and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
Market Supervisory Board No. TorJor. 16/2552 Re: Rules, Conditions, and Procedures for Application for and Approval of Offer for Sale of Newly Issued Bonds to Investors in Foreign Countries By virtue of
’ Meeting Attn.: President of the Stock Exchange of Thailand CH. Karnchang Public Company Limited hereby notifies the Stock Exchange of Thailand that the Board of Directors’ Meeting No. 4/2017, held on August
required to report the Stock Exchange of Thailand (SET) and propose to the shareholders? meeting for approval. During the said transactions had been made, SCAN never complied with such requirements
consultant approval status. In addition, the SEC suspended other three investment consultants: (1) {B}, then an employee of Finansa Securities Co., Ltd.; (2) {C} of BT Securities Co., Ltd. (presently CIMB
. Work Areas Personal Data Contact Information Sensitive Data Qualification data Financial Data Verification Data 1. Information from the approval for the offer for sale and report of the results of the