. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
supplemental documents. In case the Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an
of the bond maturity date, an adjustment of the bond interest rate, a partial repayment of the principal, and the approval to enter into any agreements, arrangements, or related documents. Such actions
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106
aforementioned transactions. The audit must be carried out by an auditor on the SEC Approval List. Additionally, SAM must submit the special audit report, along with all relevant documents and evidence, to the SEC
neither been in SEC list of approved issuer nor submitted an application for approval to offer newly issued securities and/or digital token. Therefore, those receiving information or being solicited to