deceiving investors and creditors into believing that that EARTH’s debt was greater than its assets, which constituted an offense under Section 312 of the Securities and Exchange Act B.E. 2535 (1992), The
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
Bangkok, August 19, 2013 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} on the ground to believe that he sold {X1} Plc. shares by using non
personnel for each unit especially for the investment management division which should have at least 2 fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each
(Unofficial Translation) 1. Human resources planning of each unit should demonstrate the adequate amount of personnel for each unit especially for the investment management division which should have at least 2
Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and Derivatives Advisors ________________________ By virtue of Section 14 of the Securities and Exchange Act B.E
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning