Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By
Securities and Exchange Commission No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing
of the Capital Market Supervisory Board No. TorThor. 70/2552 Re: Rules, Conditions and Procedures for Securities Underwriting dated 3 August 2009: “(4) unit trusts that parent company or subsidiary of
satisfy the audit procedures due to limitation on scope of audit imposed by the PICNI management in various matters including inability to obtain certification from the company?s management regarding
Microsoft Word - 02_Investment in Tastemaker - Translation- Ref. No. FN-NWR100/2561 July 11, 2018 Subject: Investment in Tastemaker Company Limited To President The Stock Exchange of Thailand The
(2008) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from