the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
years prior to the application date. In case the applicant is the Manager of the management company or any person holding equivalent position called otherwise who take the highest responsibility in the
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
) Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 1/2554 Re: Verification and Announcement of Qualified Units of Foreign ETF and Application for Allotment of Foreign ETF Units
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the
application to the Office, together with documents and evidence as per the forms and procedures provided in the electronic work system of the Office. The Office shall notify the securities company of the result
Chetchotisak and a company related to him. Consequently, RS will hold 49.99 percent of GIFT shares and will offer newly issued shares to pay for the acquisition. This will result in Surachai holding more RS
application for a license and the granting of a license to provide services as a securities registrar, which is subject to other specific rules governing such matter as prescribed by other Notifications. Clause