of the shareholders or [iii] any other proceeding in order to perform in accordance with law on capital market, which have to be provided the asset appraisal for support. “law on capital market” means

Form for registration/change of information/termination of SEC Account is part of the proceeding under the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021

proceeding under the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021). The SEC Office has the duty to collect, use or disclose personal data on the legal basis of

on detecting, arresting, prompt proceeding and imposing proportionate sanctions, to build trust and confidence in the capital market. SEC Assistant Secretary-General Kumpol Sontanarat gave a

securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the

operating system and competent personnel in the same level as where the management company would fulfil the functions. 2. There should be an ongoing performance monitoring of the delegatee e.g. performance

competent personnel in the same level as where the management company would fulfil the functions. 2. There should be an ongoing performance monitoring of the delegatee e.g. performance evaluation, reporting

directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and

relationship risk which is not more than medium level or which is in the acceptable level, unless having obtained exemption from the SEC Office; (5) having not been accused of or subjected to criminal proceeding

accused of or subjected to criminal proceeding, whether under Thai or foreign laws, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully