The Approval of Personnel in the Capital Market Business
’ approval. Additionally, there are changes in directors and management, and revisions to its internal work systems, with an external consulting firm monitoring and reviewing financial transactions of PDITL
SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) _________ Whereas Section 24 of the Derivatives
auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
the relevant rules and then will propose to the SEC Board for consideration and approval. The SEC and the SET also discussed possible review of the guidelines for the securities firm, as issued by
on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must emphasize on the information necessary for investor?s
Rules on Application for and Granting of Approval to Undertake Trust Business (No. 2)