regulations: Clause 1 In this Notification: (1) “executive” means a manager or a person with power of management; (2) “manager” means any person who is authorized by the board of directors of the company to
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
SEC Thailand can neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ------------------------- Notification of the Office
applicant and group of parent company. {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1
categorized as connected persons with the Company as follows details:- This amendment of investment value does not cause the Company to fall within the disclosure requirement under the Notification of the
. 4/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis) 04/01/2000 01/04/2000 2. Notification of the Office of the Securities and Exchange Commission 7
e-service Online Submission Securities Borrowing and Lending >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 33
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s