prescribed by the Securities and Exchange Commission, the Capital Market Supervisory Board or the SEC Office, the securities company shall collect all relevant data and notify the SEC Office within seven days
), together with the notice of the shareholders’ meeting, to the following persons, upon a lapse of seven days from the date the Office receives the documents under (1), unless otherwise specified by the Office
SEC Office. Clause 24 The auditor shall notify the change of the audit firm as per Form 61-3 provided on the website of the SEC Office within seven days as from the last day of serving the previous
considers that the appellant should be allowed to make an oral statement, the SEC Office shall notify the appellant of the appointment date at least seven days in advance except for the case of urgency, the
the SEC Office within seven days from the date on which the approved entity becomes aware or should have been aware of such situation. Total capital of the branch of a foreign commercial bank ≥ 1.5
(UNOFFICIAL TRANSLATION) Codified up to No.12 As of 6 August 2018 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchan...
by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause
contact may violate or does not comply with the rules prescribed by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days
, in writing, within seven days from the date on which the following characteristics of the capital market personnel of such securities company or derivatives business operator become known or there is a