under this Chapter; (2) In cases where type of administrative sanction applicable to the alleged person is not the authority of the SEC Office, the SEC office shall propose the matter to the
Executives of Securities Issuing Companies; (5) the Thai government agencies shall not have a record of contravening a regulation or condition related to securities offering in a significant matter within a
applicant shall not have any of the following characteristics: (a) having a record of contravening a regulation or condition related to securities offering in a significant matter; (b) having been rejected by
client in replacement of {B}. Seeking benefits from the client during the performance of duties, trading securities on behalf of the client and failure to comply with KYC/CDD procedures were in violation
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of
receiving replacement therapy with dialysis by dialysis machinery (Dialysis Center) and distribution of medical tools and equipment. . Overview of operating results in the Quarter /. Overall global economy
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept