Bangkok, December 23, 2015 - According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three
Bangkok, December 23, 2015 ? According to the highly publicized news coverage on share transfers of a person, the SEC after probing into the case has imposed administrative sanctions on three
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
of Securities Issuers. 4 Chapter 2 Power of the SEC Office _____________________ Clause 9 In the case where it appears to the SEC Office a fact causing any of the following suspicious grounds, the SEC
Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In
prohibited characteristics of personnel in securities businesses. In case the applicant appears to possess any prohibited characteristics, the Office shall proceed in accordance with the rules and procedures
case may be, of a mutual fund; “trading day” means any of the days on which selling or redemption of investment units may take place, as specified by a mutual fund management company in a scheme; and