misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
the EGM No. 1/2013 on October 22, 2013 for approval of selling 99.99 percent of its assets to Wyncoast Property Fund (the Fund) at the price of 806 million baht, subscribing the Fund?s investment units
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
holding other company?s stocks ("holding company"). The amended regulations specify that holding company must hold shares in its subsidiaries that are categorized as its core business (either established in
preparation of consolidated financial statements as prescribed by the Federation of Accounting Professions; (4) PVDs will be allowed to invest in assets categorized as alternative investment which
the Company to seek approval from the Board of Directors and to report said information to the SET, without having to seek further approval from the shareholders’ meeting. (6) Approval for connected
. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02
Commission Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) 01/02/2010 01/02/2010 11. Notification of the Office of the
funds; (b) fund manager who performs duty of making investment decision or divesting of other assets other than infrastructure asset; (2) approval and performance of duty of personnel appointed under (1
suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client